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misrepresentation by stockbroker

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Tony Lofaso-J.W. Cole Financial Broker-Discloses $995K+ Settlement with Customer -West Palm Beach, FL
Tony Lofaso-J.W. Cole Financial Broker-Discloses $995K+ Settlement with Customer -West Palm Beach, FL 150 150 ER

Tony Lofaso Investigation July 2022- West Palm Beach, FL According to FINRA records, Tony Lofaso ,  a  J.W. Cole Financial, Inc., broker discloses a recently settled customer dispute. The Financial Industry Regulatory…

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Francisco Valenzuela-Former Morgan Stanley Broker-Ordered to Pay Mexican Farmer $160,000 -Phoenix, AZ
Francisco Valenzuela-Former Morgan Stanley Broker-Ordered to Pay Mexican Farmer $160,000 -Phoenix, AZ 150 150 Rex Securities Law

Francisco Valenzuela Investigation June 2022- Phoenix, AZ  According to FINRA records,  Francisco J. Valenzuela ,  a former broker  who previously worked for Morgan Stanley , discloses 2 regulatory events,  4 prior…

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Robert David-Former Morgan Stanley Broker-Discloses Multiple Customer Disputes -Farmington Hills, MI
Robert David-Former Morgan Stanley Broker-Discloses Multiple Customer Disputes -Farmington Hills, MI 150 150 ER

Robert David Investigation May 2022- Farmington Hills, MI According to FINRA records,  Robert C. David, Jr.  ,  a broker  who previously worked for Morgan Stanley , discloses a regulatory event,…

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Tony Barouti-Emerson Equity Broker-Discloses Customer Dispute Seeking $1.27M -Los Angeles, CA
Tony Barouti-Emerson Equity Broker-Discloses Customer Dispute Seeking $1.27M -Los Angeles, CA 150 150 Rex Securities Law

Tony Barouti Investigation Los Angeles, CA According to FINRA records,  Tony Barouti ,  a stockbroker  who currently works  for EmersonEquity , discloses  a currently pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…

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Jury Decides Sage Advisory Group Tricked Clients to Transfer from Wedbush
Jury Decides Sage Advisory Group Tricked Clients to Transfer from Wedbush 150 150 Rex Securities Law

A federal jury in Boston found that Sage Advisory Group and its owner Benjamin Lee Grant, engaged in securities fraud by misleading his former customers at Wedbush Morgan Securities to…

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