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stockbroker negligence

Ashley Woodard-Former VOYA Financial Broker- Disgruntled Investors Paid Over $14 Million-Greenville, South Carolina
Ashley Woodard-Former VOYA Financial Broker- Disgruntled Investors Paid Over $14 Million-Greenville, South Carolina 150 150 Rex Securities Law

Ashley Woodard Investigation May 2023 – Greenville/ Greer , South Carolina According to publicly available records  Ashley Charles Woodard  ,  a  stockbroker previously employed by VOYA Financial,  discloses 16 prior customer dispute…

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Kenneth Byrne- Former Janney Montgomery Scott Broker-Barred From Securities Industry by Regulators -Garden City, NY
Kenneth Byrne- Former Janney Montgomery Scott Broker-Barred From Securities Industry by Regulators -Garden City, NY 150 150 ER

Kenneth Byrne Investigation May 2023-Garden City, NY According to publicly available records Kenneth Byrne a former broker who last worked for Janney Montgomery Scott,  discloses a final regulatory matter resulting in…

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Marianne O’Shee Smith- Former Cetera Advisors Broker-Barred From Securities Industry by Regulators -Avon, CT
Marianne O’Shee Smith- Former Cetera Advisors Broker-Barred From Securities Industry by Regulators -Avon, CT 150 150 ER

Marianne O’Shee Smith Investigation April 2023-Avon,CT According to publicly available records Marianne O’Shee Smith a former broker who last worked for Cetera Advisors,  discloses a final regulatory matter resulting in a…

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Securities Regulators List Top Investor Threats for 2023- Washington, D.C.
Securities Regulators List Top Investor Threats for 2023- Washington, D.C. 150 150 Rex Securities Law

Top Investor Threats for 2023 Per NASAA   April 2023 The North American Securities Administrators Association (NASAA)represents state and provincial securities regulators in the United States, Canada and Mexico. According…

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Darryl Cohen-Former Morgan Stanley Broker-Abuses NBA Player Accounts-Barred From Securities Industry – Westlake Village, CAe
Darryl Cohen-Former Morgan Stanley Broker-Abuses NBA Player Accounts-Barred From Securities Industry – Westlake Village, CAe 150 150 Rex Securities Law

Darryl Cohen-Misappropriation From NBA Player Accounts    April 2023-Westlake Village, C A The FINRA records of Darryl Cohen,  a former stock broker who was last employed in the industry by Morgan Stanley…

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Suzanne Charrin- Former Woodbury Financial Services Broker-Barred From Securities Industry by Regulators -Greenwood, CO
Suzanne Charrin- Former Woodbury Financial Services Broker-Barred From Securities Industry by Regulators -Greenwood, CO 150 150 ER

Suzanne Charrin Investigation April 2023-Greenwood, CO  According to publicly available records Suzanne Charrin, a former broker who last worked for Woodbury Financial Services,  discloses a final regulatory matter resulting in a…

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Kimberley Nuessmann – Former Securities America Advisor Discloses a Regulatory Event-Redwood City, CA
Kimberley Nuessmann – Former Securities America Advisor Discloses a Regulatory Event-Redwood City, CA 150 150 ER

Kimberly Nuessmann Investigation April 2023 -Redwood City, CA Kimberly Nuessmann, an unregistered stockbroker who was previously registered with Securities America, Inc.  discloses a regulatory event on her FINRA record. The…

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John Matson- Former LPL Financial Advisor-Barred From Securities Industry by Securities Regulator -Manhattan Beach, CA
John Matson- Former LPL Financial Advisor-Barred From Securities Industry by Securities Regulator -Manhattan Beach, CA 150 150 ER

John Matson Investigation April  2023- Manhattan Beach,  CA According to publicly available records,  John Nicholas Matson a former broker who last worked for LPL Financial,  discloses a final regulatory matter resulting in…

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