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recover losses for stockbroker churning

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 O. Clemente, Jr. -Former J.D. Nicholas Broker-Discloses Customer Complaints

Joseph O. Clemente, Jr. -Former J.D. Nicholas Broker-Discloses Customer Complaints 150 150 Rex Securities Law

July 2016-Garden City, New York The FINRA records of Joseph O. Clemente, Jr. ,  a  currently unlicensed stock broker who was last employed  by Worden Capital Management , disclose a pending customer dispute and a  prior finalized…

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Gregory T. Dean-Worden Capital Management Broker-Discloses Customer Complaints Alleging Churning

Gregory T. Dean-Worden Capital Management Broker-Discloses Customer Complaints Alleging Churning 150 150 Rex Securities Law

AUGUST 2019 UPDATE-Gregory Dean barred from securities industry by regulators for churning customer accounts. See this for more details.  UPDATE April 2018–Gregory Dean discloses additional customer disputes on his FINRA…

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Michael S. Lavolpe-Former Meyers Associates Broker-Discloses Multiple Pending Customer Disputes

Michael S. Lavolpe-Former Meyers Associates Broker-Discloses Multiple Pending Customer Disputes 150 150 Rex Securities Law

July 2016-New York The FINRA records of Michael S. Lavolpe  , a  currently unlicensed stockbroker who was  most recently employed by  Meyers Associates  , disclose a pending regulatory event, 4 pending customer disputes, 2 prior customer disputes…

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Chad E. Thompson-Former IFS Securities Broker-Discloses Customer Dispute

Chad E. Thompson-Former IFS Securities Broker-Discloses Customer Dispute 150 150 Rex Securities Law

July 2016 The FINRA records of Chad E. Thompson  , a currently unlicensed stockbroker who was last  employed by  IFS Securities  , disclose a final regulatory event and a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is…

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Donald A. Bartelt-Former Newport Coast Securities Broker-Discloses Pending Regulatory Action for Churning

Donald A. Bartelt-Former Newport Coast Securities Broker-Discloses Pending Regulatory Action for Churning 150 150 Rex Securities Law

July 2016-Cave Creek, AZ The FINRA records of Donald A. Bartelt  , a former stock broker who was last employed by  Newport Coast Securities  , disclose a pending regulatory event,  a prior customer dispute , a pending customer…

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Antonio Costanzo-Former Newport Coast Securities Broker-Discloses Churning Complaint-Industry Bar

Antonio Costanzo-Former Newport Coast Securities Broker-Discloses Churning Complaint-Industry Bar 150 150 Rex Securities Law

July 2016-Chesapeake, VA The FINRA records of Antonio Costanzo  , a former stock broker who was last employed by  TItus Rockefeller  , disclose a pending regulatory event, a prior final regulatory event, 8 prior customer disputes and a termination…

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