ER
November 19, 2021
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Robert Alvarez- International Assets Advisory Management Broker- Discloses Regulatory Event, Customer Dispute and Terminations From Employment – Metairie, LA

Robert Alvarez- International Assets Advisory Management Broker- Discloses Regulatory Event, Customer Dispute and Terminations From Employment – Metairie, LA https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g November 19, 2021 November 19, 2021

Robert Alvarez Investigaton November 2021- Metairie, LA According to publicly available records, Robert Alvarez, a broker with International Assets Investment Management discloses a regulatory event , a currently pending customer dispute…

Rex Securities Law
October 30, 2018
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Charles Bloom- Former Chelsea Financial Services Broker-Barred From Securities Industry- Royal Palm Beach, FL

Charles Bloom- Former Chelsea Financial Services Broker-Barred From Securities Industry- Royal Palm Beach, FL https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g October 30, 2018 October 30, 2018

October 2018- Royal Palm Beach, FL Publicly available records disclose that Charles Lewis Bloom, a former stockbroker who was previously employed by Chelsea Financial Services, discloses 3 regulatory events and a currently…

Rex Securities Law
August 31, 2018
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Michael Polyakov- Westpark Capital Broker-Discloses Customer Disputes – Boca Raton, FL

Michael Polyakov- Westpark Capital Broker-Discloses Customer Disputes – Boca Raton, FL https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 31, 2018 August 31, 2018

March 2018 – Boca Raton, FL According to publicly available records Michael Polyakov, (CRD# 734810) , a stockbroker who is currently employed by Westpark Capital , disclose 3 prior settled customer disputes . The Financial Industry Regulatory Authority…

Rex Securities Law
November 23, 2016
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Donald L. Watson-Former Jeffrey Matthews Broker- Discloses Discharge from Employment

Donald L. Watson-Former Jeffrey Matthews Broker- Discloses Discharge from Employment https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 23, 2016 April 17, 2018

UPDATE April 2018– IN 3/2017 FINRA permanently barred Donald Lee Watson, Jr. from the securities industry for refusing to cooperate with a FINRA investigation. November 2016-Sarasota, FL The FINRA records of Donald…

Rex Securities Law
March 30, 2016
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Steven Ridgley, Waddell & Reed Broker, Sanctioned for Unauthorized Trading

Steven Ridgley, Waddell & Reed Broker, Sanctioned for Unauthorized Trading https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 30, 2016 March 30, 2016

March 23, 2016-Louisville, KY Steven D. Ridgley entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while employed by Waddell…

Rex Securities Law
October 13, 2014
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Jeb Bashaw-Former LPL Financial Broker-Discloses Settlement of Customer Suit-Houston, TX

Jeb Bashaw-Former LPL Financial Broker-Discloses Settlement of Customer Suit-Houston, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g October 13, 2014 May 14, 2019

April 2019-Houston, TX According to publicly available records James Edward Bashaw (“Jeb”) (CRD#1251491) , a stockbroker who currently is employed by International Assets Advisory , discloses 3 prior customer disputes, a personal bankruptcy filing,…

International Assets Advisory investment