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selling away by stockbroker

Ariel Rivero Investigation -Former Jefferies LLC Broker-Miami,FL

Ariel Rivero Investigation -Former Jefferies LLC Broker-Miami,FL 150 150 Rex Securities Law

Ariel Rivero Investigation February 2022-Miami, Florida, USA /Buenos Aires, Argentina We are investigating former Jefferies LLC financial advisor Ariel A. Rivero on behalf of a client residing in Buenos Aires…

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Daniel T. Levine- Former Morgan Stanley Broker- Barred from Industry-Has Customer Suits-Greenwood Village, CO

Daniel T. Levine- Former Morgan Stanley Broker- Barred from Industry-Has Customer Suits-Greenwood Village, CO 150 150 ER

August 2021- Greenwood Village, CO According to publicly available records,  Daniel Todd Levine broker previously employed with Morgan Stanley discloses 3 prior regulatory events, 2 pending customer disputes and 2 terminations from…

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John Krohn-Former Principal Securities Broker-Customers Seek Damages of Nearly $40 Million-Des Moines, IL

John Krohn-Former Principal Securities Broker-Customers Seek Damages of Nearly $40 Million-Des Moines, IL 150 150 Rex Securities Law

April 2021- Des Moines, IL According to publicly available records John Krohn  (CRD#2722975), a former stockbroker who last worked for Principal Securities, Inc.  discloses a regulatory event , 3 pending…

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Mark Tudor-Fired by Raymond James-Barred From Securities Industry-Lake Mary, FL

Mark Tudor-Fired by Raymond James-Barred From Securities Industry-Lake Mary, FL 150 150 Rex Securities Law

May 2019, Lake Mary, Florida According to publicly available records Mark Andrew Tudor  ,  a  former stockbroker who last worked for Raymond James Financial  ,  disclose a recent regulatory event…

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Scott Kozak-Former Cetera Advisors Broker-Subject of Regulatory Investigation-Highland Ranch, CO

Scott Kozak-Former Cetera Advisors Broker-Subject of Regulatory Investigation-Highland Ranch, CO 150 150 Rex Securities Law

September 2019-Highland Ranch, CO The FINRA records of  Scott P. Kozak ,  a  unregistered broker who was last employed by  Cetera Advisors disclose  a recent regulatory event, 4 prior customer disputes  and…

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Dennis Hayes-Former Newbridge Securities Broker-Discloses Numerous Customer Suits-Charlotte, N. Carolina

Dennis Hayes-Former Newbridge Securities Broker-Discloses Numerous Customer Suits-Charlotte, N. Carolina 150 150 Rex Securities Law

March 2019- Charlotte, N. Carolina According to FINRA records,  Dennis Allen Hayes ,  a stock broker who  is not currently registered and who formerly worked for Newbridge Securities Corp. , discloses a pending regulatory investigaton, 2…

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Losses on an Investment in Tezos? Options for Recovery

Losses on an Investment in Tezos? Options for Recovery 150 150 Rex Securities Law

April 2018-New York Arthur R. Meunier (a/k/a Robert Breitman, a/k/a Robert Meunier-Breitman) entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) agreeing…

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Melvin S. Jacobs-Former Merrill Lynch Broker-Discloses Termination for Selling Unauthorized Investments-Houston, TX

Melvin S. Jacobs-Former Merrill Lynch Broker-Discloses Termination for Selling Unauthorized Investments-Houston, TX 150 150 Rex Securities Law

March 2018 – Houston, TX According to publicly available records , Melvin (“Mel”) S. Jacobs , (CRD# 1361940) ,  a  stockbroker who was previously employed by Merrill Lynch, Pierce, Fenner & Smith,  disclose  that he…

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Steven Yellen-Former Ameriprise Broker-Suspended by Securities Regulator-El Paso, Texas

Steven Yellen-Former Ameriprise Broker-Suspended by Securities Regulator-El Paso, Texas 150 150 Rex Securities Law

November 2019 – El Paso, Texas According to publicly available records Steven T. Yellen , (CRD# 1281663) ,  a  stockbroker who is currently suspended and who was last employed by Ameriprise Financial…

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