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Glenn Brandon – Former BB&T Securities Broker- Barred from FINRA-Birmingham, AL
Glenn Brandon – Former BB&T Securities Broker- Barred from FINRA-Birmingham, AL 150 150 ER

Glenn E. Brandon Investigation February 2024- Birmingham, AL The FINRA records of  Glenn Edward Brandon,  a former broker who was last  employed by  BB&T Securities disclose a final regulatory matter resulting…

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Rex Securities Law Investment Fraud Attorney Investigates Realta Equities Broker Gilbert Conrad
Rex Securities Law Investment Fraud Attorney Investigates Realta Equities Broker Gilbert Conrad 150 150 ER

Last Updated: February  2024 (Lewiston, NY) Gilbert Conrad Investigation Summary Here’s what you need to know about Lewiston, New York, stockbroker Gibert Conrad: Name:  Mr. Gilbert Russell Conrad Current Employer: …

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Scott Shoup-Cetera Advisor Networks Broker-Discloses Customer Disputes-Sewickley, PA 
Scott Shoup-Cetera Advisor Networks Broker-Discloses Customer Disputes-Sewickley, PA  150 150 Robert Rex, Esq.

February 2024- Sewickley, PA According to publicly available records Scott Eugene Shoup (CRD#1874559) , a  stockbroker who is currently registered Cetera Advisor Networks,  disclose 1 pending and 4 final customer disputes.…

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Gustavo Miramontes-Oppenheimer Broker-Discloses 10 Final and One Pending Customer Disputes – Los Angeles, CA
Gustavo Miramontes-Oppenheimer Broker-Discloses 10 Final and One Pending Customer Disputes – Los Angeles, CA 150 150 ER

Gustavo Miramontes Investigation February 2024 – Los Angeles, CA According to publicly available records  Gustavo Miramontes,  a stockbroker with Oppenheimer & Co., discloses 10 prior customer disputes, 5apending customer dispute…

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Stacy Goldsmith-Herbert J. Sims & Co. Broker-Subject of Customer Complaints Over Private Placements-Iselin, NJ
Stacy Goldsmith-Herbert J. Sims & Co. Broker-Subject of Customer Complaints Over Private Placements-Iselin, NJ 150 150 ER

Stacy Mari Goldsmith Investigation February 2024– Iselin, NJ According to publicly available records Stacy Mari Goldsmith, a Herbert J. Sims & Co., Inc. broker discloses 3 pending customer disputes and…

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Rex Securities Law Investment Fraud Attorney Investigates Jaime Rios a Broker with Money Concepts Capital Corp.
Rex Securities Law Investment Fraud Attorney Investigates Jaime Rios a Broker with Money Concepts Capital Corp. 150 150 Robert Rex, Esq.

Last Updated:  February 2024 (Corpus Christi, TX) Jaime Rios Investigation Summary Here’s what you need to know about Corpus Christi, TX, stockbroker Jaime Rios: Name: Mr. Jaime Rios DBA: James Rios…

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Rex Securities Law Investment Fraud Attorney Investigates Jorge Menendez a Broker with Citigroup Global Markets
Rex Securities Law Investment Fraud Attorney Investigates Jorge Menendez a Broker with Citigroup Global Markets 150 150 Robert Rex, Esq.

Last Updated:  February 2024 (Miami, Florida) Jorge Menendez Investigation Summary Here’s what you need to know about Miami, FL, stockbroker Jorge Menendez: Name: Mr. Jorge Menendez Current Employer: Citigroup Global…

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Rex Securities Law Investment Fraud Attorney Investigates Franz Koch Formerly with Merrill Lynch
Rex Securities Law Investment Fraud Attorney Investigates Franz Koch Formerly with Merrill Lynch 150 150 Robert Rex, Esq.

Last Updated:  February 2024 (Boca Raton, FL) Franz Koch Investigation Summary Here’s what you need to know about Boca Raton, FL, stockbroker Franz Koch: Name: Mr. Franz Albert Koch Current…

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Rex Securities Law Investment Fraud Attorney Investigates UBS Financial Services Broker Mike Persia
Rex Securities Law Investment Fraud Attorney Investigates UBS Financial Services Broker Mike Persia 150 150 Robert Rex, Esq.

Last Updated: February 2024 (Beaumont, Texas) Mike Persia Investigation Summary Here’s what you need to know about Beaumont, TX, stockbroker Mike Persia: Name: Mr. Michael Persia Current Employer: UBS Financial…

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Rex Securities Law Investment Fraud Attorney Investigates Former Peak Brokerage Services Broker James P. Shawver
Rex Securities Law Investment Fraud Attorney Investigates Former Peak Brokerage Services Broker James P. Shawver 150 150 Robert Rex, Esq.

Last Updated: February 2024 (Boynton Beach, FL ) James Shawver Investigation Summary Here’s what you need to know about Boynton Beach, FL, stockbroker James Shawver: Name: Mr. James Patrick Shawver…

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