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Paul W. Murphy Investigation-Calton & Assoc. Broker- Subject of Multiple Customer Suits-Ocala, FL

Paul W. Murphy Investigation-Calton & Assoc. Broker- Subject of Multiple Customer Suits-Ocala, FL 150 150 Rex Securities Law

Paul W. Murphy Investigation May 2022-Ocala, FL The FINRA records of Paul W. Murphy , a stock broker who is currently employed by  Calton & Assoc. & Swan Financial Services, disclose 2 pending…

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Joseph “Joey” Cason- Former First Allied Securities Broker- Discloses 2 Pending Customer Disputes- Brunswick, GA

Joseph “Joey” Cason- Former First Allied Securities Broker- Discloses 2 Pending Customer Disputes- Brunswick, GA 150 150 ER

Joseph “Joey” Cason Investigation May, 2022 – Brunswick, GA The FINRA records of Joseph “Joey” M. Cason, a  broker currently employed by Triad Advisors, who was previously employed by First Allied Securities, Inc. disclose…

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Lee Rycraft-Former LPL Financial Broker-Discloses a Termination of Employment- Watertown, SD

Lee Rycraft-Former LPL Financial Broker-Discloses a Termination of Employment- Watertown, SD 150 150 ER

Lee Rycraft Investigation May 2022-Watertown, SD The FINRA records of Lee Rycraft,  an unregistered broker, previously employed with LPL Financial, discloses a termination from employment. The Financial Industry Regulatory Authority (FINRA)…

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Kenia Rocha – EFG Capital Broker-Subject of $4.1M Customer Option Trading Suit – Miami, FL

Kenia Rocha – EFG Capital Broker-Subject of $4.1M Customer Option Trading Suit – Miami, FL 150 150 ER

Kenia Rocha Investigation May 2022-Miami, FL The FINRA records of  Kenia Rocha,  a broker with EFG Capital International,  discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…

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Eduardo Da Cruz – EFG Capital Broker-Subject of $4.1M Customer Suit Over Option Trading – Miami, FL

Eduardo Da Cruz – EFG Capital Broker-Subject of $4.1M Customer Suit Over Option Trading – Miami, FL 150 150 ER

Eduardo Da Cruz Investigation May 2022-Miami, FL The FINRA records of  Eduardo Moliterno Da Cruz,  a broker with EFG Capital International,  disclose a pending customer dispute. The Financial Industry Regulatory Authority…

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William “Bill” Poulter- LPL Financial Broker- Discloses Pending Customer Dispute Over Alternative Investment -Baton Rouge, LA

William “Bill” Poulter- LPL Financial Broker- Discloses Pending Customer Dispute Over Alternative Investment -Baton Rouge, LA 150 150 ER

William “Bill” Poulter Investigation May 2022- Baton Rouge, LA According to publicly available records, William John Poulter, an LPL Financial broker discloses a pending customer dispute. The Financial Industry Regulatory…

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Mark C. O’Meara – Former McNally Financial Services Broker-Discloses Customer Disputes-Georgetown, TX

Mark C. O’Meara – Former McNally Financial Services Broker-Discloses Customer Disputes-Georgetown, TX 150 150 Rex Securities Law

Mark C. O’Meara Investigation May 2022 – Georgetown, TX According to publicly available records Michael C. O’Meara  (CRD#2652113) ,  a  stockbroker who currently works for LPL Financial and who previously worked for  McNally…

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Jack “JJ” Jones- Triad Advisors Broker- Discloses Customer Disputes & Regulatory Sanction -Houston, TX

Jack “JJ” Jones- Triad Advisors Broker- Discloses Customer Disputes & Regulatory Sanction -Houston, TX 150 150 ER

Jack “JJ” Jones Investigation May 2022- Houston, TX  According to publicly available records, Jack Lewis “JJ” Jones, a Triad Advisors broker discloses a regulatory sanction, 2 prior customer disputes and…

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Kirk Badii-Former UBS Broker-$3M Customer Suit Over Alt Investments-Southlake, TX

Kirk Badii-Former UBS Broker-$3M Customer Suit Over Alt Investments-Southlake, TX 150 150 Rex Securities Law

Kirk Badii Investigation May 2022-Southlake, TX The FINRA records of  Kirk Badii,  a  stockbroker who previously worked for UBS Financial Services , disclose a pending customer dispute  and 2 terminations from employment. The Financial…

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