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Vincent “Vinny” Grucci-Former Fortune Financial Services Broker-Discloses FINRA Investigation and Final Customer Dispute- Ocean Ridge, FL
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Vincent “Vinny” Grucci Investigation June 2023-Ocean Ridge, FL The FINRA records of  Vinny Grucci,  a  former stock broker who was last employed by Fortune Financial Services, Inc. disclose a pending FINRA…

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John “JC” Carroll- Former Vanderbilt Securities Broker-Suspended Indefinitely From Securities Industry by Regulators -Juno Beach, FL
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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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Kenneth Wade-Cetera Advisor Broker Barred From Securities Industry by Regulator – Austin, TX
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Kenneth Wade Investigation June 2023-Austin, TX According to publicly available records Kenneth Wade, a broker previously with Cetera Advisor Networks discloses a final regulatory matter resulting in being permanently barred…

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Alexandra Smith-Former J.P. Morgan Broker-Barred From Securities Industry by Regulator -St. Petersburg, FL
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Alexandra Smith Investigation June 2023-St. Petersburg, FL The FINRA records of Alexandra Smith  ,  a former stock broker who was last employed in the industry by J.P. Morgan Securities , disclose 2…

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Chris Arnold- Former USCA Securities Advisor-Barred From Industry by Securities Regulators -Houston, TX
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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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Chris “Kit” Hartman – Former Kovack Securities Broker- Has Three Pending Customer Disputes-Santa Barbara, CA
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Chris “Kit” Hartman Investigation June 2023 – Ft Lauderdale, FL According to publicly available records  Chris “Kit” Hartman,  a  stockbroker previously employed by Kovack Securities,  discloses 3 pending customer disputes. The…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Truist Investment Services Broker Jeffrey Tucker
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Last Updated: June 2024 (Ocala, Florida) Jeffrey Tucker Investigation Summary Here’s what you need to know about Ocala, FL, stockbroker Jeffrey Tucker: Name: Mr. Jeffrey Alan Tucker Current Employer: Truist…

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  • Robert Rex, Esq.

Ashley Woodard-Former VOYA Financial Broker- Disgruntled Investors Paid Over $14 Million-Greenville, South Carolina
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Ashley Woodard Investigation May 2023 – Greenville/ Greer , South Carolina According to publicly available records  Ashley Charles Woodard  ,  a  stockbroker previously employed by VOYA Financial,  discloses 16 prior customer dispute…

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  • Robert Rex, Esq.

Stifel Nicolaus & Co. Fined $2.5 Million For Allowing Broker to Make Unauthorized Trades
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Stifel Nicolaus Investigation May 2023- Taunton, MA  According to publicly available records,  Stifel Nicolaus & Co.  has been fined $2.5 million by Massachusetts securities regulator William Galvin for ignoring a…

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Kenneth Byrne- Former Janney Montgomery Scott Broker-Barred From Securities Industry by Regulators -Garden City, NY
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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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