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texas securities attorney

Chris Arnold- Former USCA Securities Advisor-Barred From Industry by Securities Regulators -Houston, TX

Chris Arnold- Former USCA Securities Advisor-Barred From Industry by Securities Regulators -Houston, TX 150 150 ER

Chris Arnold Investigation June  2023-Houston, TX According to publicly available records Chris Arnold a former broker who last worked for USCA Securities,  discloses a regulatory matter resulting in a permanent bar…

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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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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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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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Christine Warner-Monticello Financial Group Broker-Discloses Regulatory Suspension- Mount Pleasant, TX

Christine Warner-Monticello Financial Group Broker-Discloses Regulatory Suspension- Mount Pleasant, TX 150 150 ER

Christine Warner Investigation April 2023-Mount Pleasant, TX According to publicly available records Christine Anne Warner, a Monticello Financial Group broker discloses a final regulatory matter.  The Financial Industry Regulatory Authority (FINRA) is…

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Caz Craffy- Former Monmouth Capital Management Broker-Barred From Securities Industry by Regulators – Morristown, NJ

Caz Craffy- Former Monmouth Capital Management Broker-Barred From Securities Industry by Regulators – Morristown, NJ 150 150 ER

Caz Craffy Investigation June 2023-Morristown, NJ According to publicly available records Caz Craffy, a former broker who last worked for Monmouth Capital Management,  discloses a final regulatory matter resulting in a…

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