ER
July 5, 2022
No Comments

Greg McKinney- Former Cetera Advisors Broker-Barred From Securities Industry by Regulators, Facing $1M Suit- Tulsa, OK

Greg McKinney- Former Cetera Advisors Broker-Barred From Securities Industry by Regulators, Facing $1M Suit- Tulsa, OK https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g July 5, 2022 July 5, 2022

Greg McKinney Investigation July 2022-Tulsa, OK According to publicly available records James Gregory McKinney a former broker who last worked for Cetera Advisors, discloses a final regulatory matter, a pending customer dispute, 7…

ER
July 5, 2022
No Comments

Scott Levine- Former Ascendiant Capital Markets Broker-Barred From Securities Industry by Regulators -Lake Worth, FL

Scott Levine- Former Ascendiant Capital Markets Broker-Barred From Securities Industry by Regulators -Lake Worth, FL https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g July 5, 2022 July 5, 2022

Scott Levine Investigation July 2022-Lake Worth, FL According to publicly available records Scott H. Levine a former broker who last worked for Ascendiant Capital Markets, discloses a final regulatory matter resulting…

ER
July 5, 2022
No Comments

Philip Riposo- Former United Planners’ Financial Services Broker-Barred From Securities Industry by Regulators -Scottsdale, AZ

Philip Riposo- Former United Planners’ Financial Services Broker-Barred From Securities Industry by Regulators -Scottsdale, AZ https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g July 5, 2022 July 5, 2022

Philip Riposo Investigation July 2022-Scottsdale, AZ According to publicly available records Philip Riposo a former broker who last worked for United Planners’ Financial Services, discloses a final regulatory matter resulting in a…

ER
July 5, 2022
No Comments

Robert Turner-Former UBS Financial Services Broker-Discloses over $5.5M in Settlements -Waco, TX

Robert Turner-Former UBS Financial Services Broker-Discloses over $5.5M in Settlements -Waco, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g July 5, 2022 July 5, 2022

Robert Turner Investigation July 2022- Waco, Texas According to publicly available records Robert Turner , (CRD# 2113736 ), a stockbroker who formerly worked with UBS Financial Services, Inc. discloses 4 prior customer…

ER
July 5, 2022
No Comments

Jon Scheier -Former Edward Jones Broker-Barred From Securities Industry by Regulators – Denison, TX

Jon Scheier -Former Edward Jones Broker-Barred From Securities Industry by Regulators – Denison, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g July 5, 2022 July 5, 2022

Jon Scheier Investigation July 2022-Denison , TX According to publicly available records Jon Scheier , a former broker who last worked for Edward Jones, discloses a final regulatory matter resulting in a…

ER
July 5, 2022
No Comments

Robert Mooney- Former Allstate Financial Services Broker-Barred From Securities Industry by Regulators -Forney, TX

Robert Mooney- Former Allstate Financial Services Broker-Barred From Securities Industry by Regulators -Forney, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g July 5, 2022 July 5, 2022

Robert Mooney Investigation July 2022-Forney, TX According to publicly available records Robert Wayne Mooney a currently unregistered broker who last worked for Allstate Financial Services, discloses a final regulatory matter resulting…

ER
July 5, 2022
No Comments

Diane Simmons- Former Horace Mann Investors Broker-Barred From Securities Industry by Regulators and Termination from Employment-Ovilla, TX

Diane Simmons- Former Horace Mann Investors Broker-Barred From Securities Industry by Regulators and Termination from Employment-Ovilla, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g July 5, 2022 July 5, 2022

Diane Simmons Investigation July 2022-Ovilla, TX According to publicly available records Diane Marie Simmons a currently unregistered broker who last worked for Horace Mann Investors, discloses a final regulatory matter resulting in…

Rex Securities Law
June 27, 2022
No Comments

Perry Abbonizio-Named in Regulatory Actions Over Par Funding Fraud- Fort Worth, TX

Perry Abbonizio-Named in Regulatory Actions Over Par Funding Fraud- Fort Worth, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 27, 2022 June 27, 2022

June 2022- Fort Worth, TX According to publicly available records, Perry S. Abbonizio, a former registered investment advisor and stockbroker , was recently named in a complaint filed by the…

Rex Securities Law
June 15, 2022
No Comments

George M. Warner-Former Chelsea Financial Broker-Discloses Regulatory Sanction -Horseshoe Bay & Rockwall, TX

George M. Warner-Former Chelsea Financial Broker-Discloses Regulatory Sanction -Horseshoe Bay & Rockwall, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 15, 2022 June 15, 2022

George M. Warner Investigation June 2022-Horseshoe Bay & Rockwall, TX The FINRA records of George M. Warner , a former stockbroker who last was registered with Chelsea Financial Services disclose 2 prior…

texas securities attorney