texas securities attorney Archives - Page 2 of 89

ER
June 22, 2023
No Comments

Derek Rehill-VCS Venture Securities Broker-Discloses Regulatory Suspension – Garden City, NY

Derek Rehill-VCS Venture Securities Broker-Discloses Regulatory Suspension – Garden City, NY 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 June 22, 2023 June 23, 2023

Derek Rehill Investigation June 2023-Garden City, NY According to publicly available records Derek John Rehill, a VCS Venture Securities broker discloses a final regulatory matter. The Financial Industry Regulatory Authority (FINRA) is…

ER
June 21, 2023
No Comments

Mirso Muharemovic-Former Arive Capital Markets Broker-Discloses Regulatory Suspension and Three Prior Customer Disputes – Coram, NY

Mirso Muharemovic-Former Arive Capital Markets Broker-Discloses Regulatory Suspension and Three Prior Customer Disputes – Coram, NY 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 June 21, 2023 June 21, 2023

Mirso Muharemovic Investigation June 2023-Coram, NY According to publicly available records Mirso Muharemovic, a former Arive Capital Markets broker discloses a final regulatory matter and three prior customer disputes. The Financial Industry…

ER
June 21, 2023
No Comments

Robert Rich-Former Wells Fargo Advisor-Discloses a Regulatory Event and Termination- New York, NY

Robert Rich-Former Wells Fargo Advisor-Discloses a Regulatory Event and Termination- New York, NY 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 June 21, 2023 June 21, 2023

Robert Rich Investigation June 2023– Farmington, UT According to publicly available records, Robert Grant Rich, a broker previously with Wells Fargo Advisors Financial Network, discloses a final regulatory matter resulting him…

ER
June 21, 2023
No Comments

David J. Morris- Former Stifel, Nicolaus & Company Broker-Barred From Securities Industry by Regulators & Subject of Customer Suit -Chicago, IL

David J. Morris- Former Stifel, Nicolaus & Company Broker-Barred From Securities Industry by Regulators & Subject of Customer Suit -Chicago, IL 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 June 21, 2023 June 21, 2023

David Jeffrey Morris Investigation June 2023-Chicago, IL According to publicly available records David Jeffrey Morris a former broker who last worked for Stifel, Nicolas & Company, discloses a final regulatory matter…

ER
June 21, 2023
No Comments

Shawn Good- Former Morgan Stanley Broker-Regulator Alleges He Operated a $4.8 Million Ponzi Scheme – Wilmington, NC

Shawn Good- Former Morgan Stanley Broker-Regulator Alleges He Operated a $4.8 Million Ponzi Scheme – Wilmington, NC 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 June 21, 2023 June 21, 2023

Shawn Good Investigation June 2023-Wilmington, NC According to publicly available records Shawn Good a former broker who last worked for Morgan Stanley discloses a final regulatory matter resulting in a permanent…

ER
June 21, 2023
No Comments

Scott Paul Smith-Former J.W. Cole Financial Advisor-Discloses Regulatory Event, Customer Dispute and a Termination from Employment- Huntington Beach, CA

Scott Paul Smith-Former J.W. Cole Financial Advisor-Discloses Regulatory Event, Customer Dispute and a Termination from Employment- Huntington Beach, CA 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 June 21, 2023 June 21, 2023

Scott Paul Smith Investigation June 2023– Huntington Beach, CA According to publicly available records, Scott Paul Smith, a currently unregistered broker who last worked for J.W. Cole Financial, discloses a final…

ER
June 19, 2023
No Comments

Adrian R. London- Former J.P. Morgan Broker-Barred From Securities Industry by Regulators -Atlanta, GA

Adrian R. London- Former J.P. Morgan Broker-Barred From Securities Industry by Regulators -Atlanta, GA 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 June 19, 2023 June 19, 2023

Adrian R. London Investigation June 2023-Atlanta GA According to publicly available records Adrian R. London a former broker who last worked for J.P. Morgan Securities, discloses a final regulatory matter resulting…

ER
June 19, 2023
No Comments

Robert “Bob” Thomas-Former Avantax Investment Services Broker-Discloses 2 Customer Disputes and a Termination fro mEmployment- Bangor, ME

Robert “Bob” Thomas-Former Avantax Investment Services Broker-Discloses 2 Customer Disputes and a Termination fro mEmployment- Bangor, ME 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 June 19, 2023 June 19, 2023

Robert “Bob” Thomas Investigation May 2023-Bangor, ME According to publicly available records Robert A. Thomas a currently unregistered broker who formerly worked for Avantax Investment Services, discloses a 2 customer…

ER
June 19, 2023
No Comments

Eric Stone- Former Fidelity Brokerage Services Advisor- Borrows From Client – Barred From Industry by Securities Regulators -Jacksonville, FL

Eric Stone- Former Fidelity Brokerage Services Advisor- Borrows From Client – Barred From Industry by Securities Regulators -Jacksonville, 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 June 19, 2023 June 19, 2023

Eric Stone Investigation June 2023-Jacksonville, FL According to publicly available records Eric James Stone a former broker who last worked for Fidelity Brokerage Services, discloses a regulatory matter resulting in a…