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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 150 150 ER

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…

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John “JC” Carroll- Former Vanderbilt Securities Broker-Suspended Indefinitely From Securities Industry by Regulators -Juno Beach, FL
John “JC” Carroll- Former Vanderbilt Securities Broker-Suspended Indefinitely From Securities Industry by Regulators -Juno Beach, FL 150 150 ER

John “JC” Carroll Investigation June  2023-Juno Beach, FL According to publicly available records John Carroll IV a former broker who previously was employed by  Vanderbilt Securities,  discloses a final regulatory matter…

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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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Kurt Russell Baldry Investigation- Ausdal Financial Broker- Subject of Customer Suit Seeking $980K – Ostego, MN
Kurt Russell Baldry Investigation- Ausdal Financial Broker- Subject of Customer Suit Seeking $980K – Ostego, MN 150 150 Rex Securities Law

Kurt R. Baldry Investigation May 2022- Ostego, MN According to publicly recorded records, Kurt Russell Baldry,  a broker with  Ausdal Financial Services  discloses  a pending customer dispute and 2 prior…

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Clarence McGill-Former GWN Securities Broker-Barred From Securities Industry by Regulator-Frisco, TX
Clarence McGill-Former GWN Securities Broker-Barred From Securities Industry by Regulator-Frisco, TX 150 150 Rex Securities Law

July 2018- Frisco, Texas The FINRA records of  Clarence L. McGill ,  a former stock broker who was most recently  employed by GWN Securities ,  disclose that he was recently barred from the securities industry. The Financial Industry…

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San Antonio Based Investment Professionals, Inc. Sanctioned Over Sales to Senior Citizens
San Antonio Based Investment Professionals, Inc. Sanctioned Over Sales to Senior Citizens 150 150 Rex Securities Law

March 2017-San Antonio, Texas San Antonio, Texas, based stock brokerage firm Investment Professionals, Inc.  (IPI)  was ordered by William F. Galvin of the Massachusetts Securities Division to pay a $100,000 fine and offer…

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Theodore Allocca, Jr.-Trident Partners Stockbroker-Discloses Customer Suits
Theodore Allocca, Jr.-Trident Partners Stockbroker-Discloses Customer Suits 150 150 Rex Securities Law

September 2018-Woodbury, New York According to FINRA records, Theodore Allocca, Jr. ,  a broker who is currently registered  with Trident Partners Ltd. , disclose a pending customer dispute and  two prior final customer…

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