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Jerry Tuma- Independent Financial Group Broker-Customer Suit Over REIT -Dallas, TX
Jerry Tuma- Independent Financial Group Broker-Customer Suit Over REIT -Dallas, TX 150 150 ER

Jerry Tuma Investigation August 2022-Dallas, TX According to FINRA records,  Jerry Tuma,  a broker with  Independent Financial Group discloses two finalized customer disputes and a currently pending customer dispute. The…

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  • Robert Rex, Esq.

Can I Sue My Stockbroker or Financial Advisor for Losses?
Can I Sue My Stockbroker or Financial Advisor for Losses? 150 150 Robert Rex, Esq.

Yes, you can sue your stockbroker or financial advisor if you’ve suffered losses. Read below to find out the details. How to Sue and Recover Losses Caused by Your Stockbroker…

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  • Robert Rex, Esq.

William L. Baumner- Former Buckman, Buckman & Reid Broker-Has Multiple Customer Suits Involving Private Placements-Boca Raton, FL
William L. Baumner- Former Buckman, Buckman & Reid Broker-Has Multiple Customer Suits Involving Private Placements-Boca Raton, FL 150 150 Robert Rex, Esq.

William L. Baumner Investigation August 2022-Boca Raton, Florida According to FINRA records,  William L. Baumner, IV ,   a previously registered stockbroker who last worked for Tradespot Markets and  Buckman, Buckman & Reid   discloses  a…

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  • Robert Rex, Esq.

Scarlett Ramsey- Former NY Life Securities Broker-Barred From Securities Industry by Regulators – Lubbock, TX
Scarlett Ramsey- Former NY Life Securities Broker-Barred From Securities Industry by Regulators – Lubbock, TX 150 150 Robert Rex, Esq.

Scarlett Ramsey Investigation August 2022-Lubbock, TX According to publicly available records Scarlett Deann Ramsey ,a former broker who last worked for NY Life Securities,  discloses a final regulatory matter resulting in…

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  • Robert Rex, Esq.

Lynn Cawthorne -Former Cambridge Investment Research Broker- Sentenced to Federal Prison for Wire Fraud-Shreveport, LA
Lynn Cawthorne -Former Cambridge Investment Research Broker- Sentenced to Federal Prison for Wire Fraud-Shreveport, LA 150 150 Robert Rex, Esq.

Lynn Cawthorne- Former Cambridge Investment Broker Sentenced for Wire Fraud August 2022-Shreveport, LA Shreveport Times photo of Lynn Cawthorne According to publicly available records, Lynn Dale Cawthorne, a former broker,…

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Frank B. Snyder- Cambridge Investment Broker-Discloses Settlement of Customer Suit Over Real Estate Securities-Greenville, IL
Frank B. Snyder- Cambridge Investment Broker-Discloses Settlement of Customer Suit Over Real Estate Securities-Greenville, IL 150 150 ER

Frank B. Snyder Investigation February 2024- Greenville, IL The FINRA records of  Frank B. Snyder ,  a broker with Cambridge Investment Research Advisors,  disclose a pending customer dispute. The Financial Industry…

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Steve Baaden- Oppenheimer Broker- Discloses Recent Settlement of Customer Suit- Dallas, TX
Steve Baaden- Oppenheimer Broker- Discloses Recent Settlement of Customer Suit- Dallas, TX 150 150 ER

Steve Baaden Investigation August, 2022 – Dallas, TX  The FINRA records of Steven R. Baaden, an Oppenheimer & Co. broker, disclose settlement of a recent customer dispute. The Financial Industry Regulatory Authority (FINRA) is…

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Harold Bin Cho- Merrill Lynch Broker- Discloses $1.8M Customer Settlement- Short Hills, NJ
Harold Bin Cho- Merrill Lynch Broker- Discloses $1.8M Customer Settlement- Short Hills, NJ 150 150 ER

Harold Bin Cho Investigation August, 2022 – Short Hills, NJ The FINRA records of Harold Bin Cho a  broker currently employed by Merrill Lynch, Pierce, Fenner & Smith, disclose a prior customer…

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Scott Spruth-Former Wells Fargo Broker-Discloses 2 Customer Disputes -Newport Beach, CA
Scott Spruth-Former Wells Fargo Broker-Discloses 2 Customer Disputes -Newport Beach, CA 150 150 ER

Scott Spruth Investigation August 2022- Newport Beach, CA According to FINRA records,  Scott K. Spruth,  a broker  who previously worked for Wells Fargo, discloses 2 pending customer disputes. The Financial…

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Brian Turner-Wells Fargo Broker-Discloses Customer Dispute- Ellicott City, MD
Brian Turner-Wells Fargo Broker-Discloses Customer Dispute- Ellicott City, MD 150 150 ER

Brian Turner Investigation August 2022-Ellicott City, MD The FINRA records of Brian C. Turner,  a Wells Fargo Clearing Services broker discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA)…

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