• Robert Rex, Esq.

StartEngine Crowdfunding Inc. Sanctioned by Texas Securities Regulator-Austin, TX
StartEngine Crowdfunding Inc. Sanctioned by Texas Securities Regulator-Austin, TX 150 150 Robert Rex, Esq.

StartEngine Crowdfunding Inc. Sanctioned by Texas Securities Regulator July 2022- Austin, TX  On June 12, 2022, the Texas State Securities Board (TSSB) entered an order sanctioning StartEngine Crowdfunding, Inc., an equity…

read more
  • ER

Noe Ramirez- Former Merrill Lynch Broker-Barred From Securities Industry by Regulators-Austin, TX
Noe Ramirez- Former Merrill Lynch Broker-Barred From Securities Industry by Regulators-Austin, TX 150 150 ER

Noe Ramirez Investigation July 2022-Austin, TX According to publicly available records Noe Ramirez, former Merrill Lynch broker, discloses a final regulatory matter resulting in a permanent bar from the securities…

read more
  • ER

Shawn Elizabeth Parker- Former Ameriprise Financial Services Broker-Barred From Securities Industry by Regulators -Schaumburg, IL
Shawn Elizabeth Parker- Former Ameriprise Financial Services Broker-Barred From Securities Industry by Regulators -Schaumburg, IL 150 150 ER

Shawn  Parker Investigation July 2022-Schaumburg, IL According to publicly available records Shawn Elizabeth Parker,a former broker who last worked for Ameriprise Financial Services,  discloses a final regulatory matter resulting in a…

read more
  • ER

Suzanne Charrin- Former Woodbury Financial Services Broker- Discloses Termination of Employment, Greenwood Village, CO
Suzanne Charrin- Former Woodbury Financial Services Broker- Discloses Termination of Employment, Greenwood Village, CO 150 150 ER

Suzanne Charrin Investigation July 2022- Greenwood Village, CO According to available records,  Suzanne Charrin , an unregistered broker previously with Woodbury Financial Services,  discloses a termination from employment. The Financial…

read more
  • ER

Jim Driggers- Former Morgan Stanley Broker-Discloses Prior Customer Dispute and $4.2M in Pending Customer Disputes-Sarasota, FL
Jim Driggers- Former Morgan Stanley Broker-Discloses Prior Customer Dispute and $4.2M in Pending Customer Disputes-Sarasota, FL 150 150 ER

Jim Driggers Investigation July 2022-Sarasota, FL According to publicly available records Jimmy Yang Driggers a currently unregistered broker who was previously with Morgan Stanley ,  discloses a prior customer dispute…

read more
  • ER

Andrew Edenbaum- Former National Securities Broker-Suspended From Securities Industry by Regulators, Discloses Termination-Boca Raton, FL
Andrew Edenbaum- Former National Securities Broker-Suspended From Securities Industry by Regulators, Discloses Termination-Boca Raton, FL 150 150 ER

Andrew Edenbaum Investigation July 2022-Boca Raton, FL According to publicly available records Andrew Edenbaum a currently unregistered broker who last worked for Alliance Global Partners,  discloses 2 final regulatory matters…

read more
  • ER

Thomas Murray-Wells Fargo Broker-Subject of Customer Complaint Seeking $300K- Pasadena, CA
Thomas Murray-Wells Fargo Broker-Subject of Customer Complaint Seeking $300K- Pasadena, CA 150 150 ER

Thomas Murray Investigation July 2022-Pasadena, CA According to publicly available records Thomas Wilson Murray ,  a Wells Fargo Clearing Services broker discloses a pending customer dispute. The Financial Industry Regulatory Authority…

read more
  • ER

Christopher Bennett- Former J.J.B.Hilliard Broker-Barred From Securities Industry by Regulators, Discloses Pending Suits Seeking 6+ Million-Louisville, KY
Christopher Bennett- Former J.J.B.Hilliard Broker-Barred From Securities Industry by Regulators, Discloses Pending Suits Seeking 6+ Million-Louisville, KY 150 150 ER

Christopher Bennett Investigation July 2022-Louisville, KY According to publicly available records Christopher Bennett a currently unregistered broker who last worked for J.J.B. Hilliard, W.L. Lyons  discloses a final regulatory matter resulting in…

read more
  • ER

Tony Lofaso-J.W. Cole Financial Broker-Discloses $995K+ Settlement with Customer -West Palm Beach, FL
Tony Lofaso-J.W. Cole Financial Broker-Discloses $995K+ Settlement with Customer -West Palm Beach, FL 150 150 ER

Tony Lofaso Investigation July 2022- West Palm Beach, FL According to FINRA records, Tony Lofaso ,  a  J.W. Cole Financial, Inc., broker discloses a recently settled customer dispute. The Financial Industry Regulatory…

read more
  • ER

Greg McKinney- Former Cetera Advisors Broker-Barred From Securities Industry by Regulators, Facing $1M Suit- Tulsa, OK
Greg McKinney- Former Cetera Advisors Broker-Barred From Securities Industry by Regulators, Facing $1M Suit- Tulsa, OK 150 150 ER

Greg McKinney Investigation July 2022-Tulsa, OK According to publicly available records James Gregory McKinney a former broker who last worked for Cetera Advisors,  discloses a final regulatory matter, a pending customer dispute, 7…

read more
Enter your
text here

You cannot copy content of this page