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securities attorney

Nicholas Palumbo-Former Park Avenue Securities Broker-Barred From Securities Industry-Armonk, NY

Nicholas Palumbo-Former Park Avenue Securities Broker-Barred From Securities Industry-Armonk, NY 150 150 ER

Nicholas Palumbo Investigation December 2021- Armonk, NY According to publicly available records Nicholas R. Palumbo,  a  former stockbroker who last worked for Park Avenue Securities discloses that he has been sued by…

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Michael “Mike” Conte- Former Fusion Analytics Securities Broker- Permanently Barred from FINRA- Coral Springs, FL

Michael “Mike” Conte- Former Fusion Analytics Securities Broker- Permanently Barred from FINRA- Coral Springs, FL 150 150 ER

Michael “Mike” Conte Investigation December 2021- Coral Springs, FL  According to publicly available records,  Michael “Mike” James Conte a broker previously employed with Fusion Analytics Securities discloses a prior regulatory event,…

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William (Billy) Busch-Former Morgan Stanley Broker-Settles Customer Suit Over Unsuitable Investments-Austin,TX

William (Billy) Busch-Former Morgan Stanley Broker-Settles Customer Suit Over Unsuitable Investments-Austin,TX 150 150 Rex Securities Law

William (Billy) Busch Investigation December 2021 – Austin, TX According to publicly available records  William (Billy) D. Busch , a stockbroker who was previously registered with Morgan Stanley & Co. discloses  the…

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Jesus Rodriguez- Morgan Stanley Broker- Barred from Industry by Securities Regulator-El Paso, TX

Jesus Rodriguez- Morgan Stanley Broker- Barred from Industry by Securities Regulator-El Paso, TX 150 150 Rex Securities Law

Jesus Rodriguez Investigation December 2021- El Paso, TX According to publicly available records,  Jesus Rodriguez, a former broker who last worked for Morgan Stanley discloses 5 recent customer complaints alleging  misappropriation of…

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John Rochester- Morgan Stanley Broker- Subject of $600K Customer Suit-Santa Fe, NM

John Rochester- Morgan Stanley Broker- Subject of $600K Customer Suit-Santa Fe, NM 150 150 Rex Securities Law

John Rochester Investigation November 2021- Santa Fe, NM According to publicly available records,  John A. Rochester, a broker with Morgan Stanley discloses a recently filed customer arbitration seeking damages of $600,000. The…

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Ex-Pat With Losses in Your U.S. Brokerage Account? How to Recover Damages.

Ex-Pat With Losses in Your U.S. Brokerage Account? How to Recover Damages. 150 150 Rex Securities Law

Ex-Pat With Losses in Your U.S. Brokerage Account? November 2021 If you are an expat residing in Canada, The Bahamas, Japan, Thailand, Mexico, United Kingdom, Europe, Australia, the Caribbean, South…

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John Lowry- Spartan Capital Broker- Subject of Regulatory Complaint-New York, NY

John Lowry- Spartan Capital Broker- Subject of Regulatory Complaint-New York, NY 150 150 Rex Securities Law

November 2021- New York, NY The FINRA records of  John Dennis Lowry ,  a  financial advisor  employed by  Spartan Capital Securities disclose a pending regulatory matter, 2 pending customer disputes and…

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David Michael Becker- Former Cetera Broker- Discloses Pending Customer Dispute -Waterloo, IA

David Michael Becker- Former Cetera Broker- Discloses Pending Customer Dispute -Waterloo, IA 150 150 ER

David M. Becker Investigation November  2021-Waterloo, IA According to publicly available records, David Michael Becker, a former Cetera Advisors broker discloses a pending customer dispute.  The Financial Industry Regulatory Authority (FINRA) is…

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Rhett Bedwell- Former LPL Financial Broker-Alleged Forgery Leads to Bar From Industry-Rogers, AR

Rhett Bedwell- Former LPL Financial Broker-Alleged Forgery Leads to Bar From Industry-Rogers, AR 150 150 ER

Rhett Bedwell Investigation November 2021- Rogers, AR  The FINRA records of  Rhett Bedwell ,  a  former financial advisor who was last employed by  LPL Financial disclose a regulatory event and three…

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