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Chris McFadden- Former LPL Financial Broker- Discloses Regulatory Suspension, Dallas, TX

Chris McFadden- Former LPL Financial Broker- Discloses Regulatory Suspension, Dallas, TX 150 150 ER

Chris McFadden Investigation June 2022- Dallas, TX According to publicly available records,  Chris D. McFadden, a currently unregistered broker, who last worked for Equitable Advisors and LPL Financial in Dallas, TX ,  discloses…

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Austin Based Swiftarc Capital Has Registration Revoked by Texas Securities Regulator-Austin, TX

Austin Based Swiftarc Capital Has Registration Revoked by Texas Securities Regulator-Austin, TX 150 150 Rex Securities Law

Swiftarc Capital & Siddharth Jawahar  Accused of Fraud June 2022- Austin, TX  On June 7, 2022, the Texas State Securities Board (TSSB) entered an order revoking the registration of Swiftarc…

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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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Mark A. Thompson- Former Arkadios Broker-Customer Seeks a Million in Damages Over Alternative Investment Losses-Atlanta, GA

Mark A. Thompson- Former Arkadios Broker-Customer Seeks a Million in Damages Over Alternative Investment Losses-Atlanta, GA 150 150 Rex Securities Law

Mark A. Thompson Investigation May 2022- Atlanta, GA The FINRA records of  Mark Alan Thompson ,   a  stockbroker who is employed by  Arkadios Capital  disclose a pending customer dispute. The Financial Industry Regulatory…

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Jody Young- Former Arkadios Broker-Customer Seeks a Million in Damages Over Alternative Investment Losses-Atlanta, GA

Jody Young- Former Arkadios Broker-Customer Seeks a Million in Damages Over Alternative Investment Losses-Atlanta, GA 150 150 Rex Securities Law

Jody P. Young Investigation May 2022- Atlanta, GA The FINRA records of  Joseph “Jody” P. Young ,  founding partner of ACG Wealth Management,  a  former stockbroker who was previously employed by  Arkadios Capital  disclose…

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Jason Tarver- Merrill Lynch Broker- Discloses $2 Million Settlement With Customer- Frisco, TX

Jason Tarver- Merrill Lynch Broker- Discloses $2 Million Settlement With Customer- Frisco, TX 150 150 ER

Jason Tarver Investigation May, 2022 – Frisco, TX The FINRA records of Jason Tarver a  broker currently employed by Merrill Lynch, Pierce, Fenner & Smith, disclose recent settlement of a customer dispute. The…

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Patrick Chitwood- Former Arkadios Broker-Customer Seeks a Million in Damages Over Alternative Investment Losses-Birmingham, AL

Patrick Chitwood- Former Arkadios Broker-Customer Seeks a Million in Damages Over Alternative Investment Losses-Birmingham, AL 150 150 Rex Securities Law

Patrick Chitwood Investigation May 2022-Birmingham, AL The FINRA records of  Patrick R. Chitwood ,  owner of Chitwood Advisory Group and Chitwood Wealth Management,  a  stockbroker who was formerly employed by  Arkadios Capital  disclose a…

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Shaun Hayes Investigation-Former Merrill Lynch Broker-Subject of Mulitiple Customer Complaints Alleging Unauthorized Trading-Fort Worth, TX

Shaun Hayes Investigation-Former Merrill Lynch Broker-Subject of Mulitiple Customer Complaints Alleging Unauthorized Trading-Fort Worth, TX 150 150 Rex Securities Law

Shaun Hayes Investigation May 2022-Fort Worth, TX  According to publicly available records Shaun Eugene Hayes ,  a  stockbroker who is currently unregistered and who last was employed by Merrill Lynch discloses…

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Kurt Russell Baldry Investigation- Ausdal Financial Broker- Subject of Customer Suit Seeking $980K – Ostego, MN

Kurt Russell Baldry Investigation- Ausdal Financial Broker- Subject of Customer Suit Seeking $980K – Ostego, MN 150 150 Rex Securities Law

Kurt R. Baldry Investigation May 2022- Ostego, MN According to publicly recorded records, Kurt Russell Baldry,  a broker with  Ausdal Financial Services  discloses  a pending customer dispute and 2 prior…

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