• ER

John Westbrook – Former Center Street Securities Broker- Discloses Regulatory Event, Customer Dispute and a Termination- Jackson Gap, AL
John Westbrook – Former Center Street Securities Broker- Discloses Regulatory Event, Customer Dispute and a Termination- Jackson Gap, AL 150 150 ER

September 2021- Jackson Gap, AL According to publicly available records John Westbrook,  a currently unregistered broker who previously was employed by Center Street Securities,  discloses a regulatory event, a pending…

read more
  • ER

Chad Vandenbusch – Wintrust Investments Broker- Discloses Customer Disputes – Appleton, WI
Chad Vandenbusch – Wintrust Investments Broker- Discloses Customer Disputes – Appleton, WI 150 150 ER

September 2021- Appleton, WI According to publicly available records Chad Michael Vandenbusch,  a broker with Wintrust Investments,  discloses customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses…

read more
  • ER

William Calvert-UBS Broker- Discloses Pending Customer Dispute Involving Options Overlay Strategy-Los Angeles, CA
William Calvert-UBS Broker- Discloses Pending Customer Dispute Involving Options Overlay Strategy-Los Angeles, CA 150 150 ER

September 2021 – Los Angeles, CA According to publicly available records William S. Calvert,  a broker with UBS Financial discloses a customer dispute. The Financial Industry Regulatory Authority (FINRA) is…

read more
  • ER

Marisa Quintero- Former J.P. Morgan Broker- Permanently Barred By Securities Regulator – Spring, TX
Marisa Quintero- Former J.P. Morgan Broker- Permanently Barred By Securities Regulator – Spring, TX 150 150 ER

August 2021- Spring, TX According to publicly available records,  Marisa K. Quintero a currently unregistered financial advisor who was last registered with J.P. Morgan, discloses a prior regulatory event and…

read more
  • Robert Rex, Esq.

Texas Securities Regulator Stops Sex Offender’s Fraudulent Real Estate Deal-Dallas, TX
Texas Securities Regulator Stops Sex Offender’s Fraudulent Real Estate Deal-Dallas, TX 150 150 Robert Rex, Esq.

September 2021- White Settlement, Texas  The Texas State Securities Board (TSSB) issued an Emergency Cease and Desist Order against the following Respondents: PB& Associates LLC, a Texas limited liability company…

read more
  • Robert Rex, Esq.

Christopher Orlando- Former Spartan Capital Broker- Barred From Industry by Regulator-Staten Island, NY
Christopher Orlando- Former Spartan Capital Broker- Barred From Industry by Regulator-Staten Island, NY 150 150 Robert Rex, Esq.

September 2021- Staten Island, NY The FINRA records of  Christopher G. Orlando ,  a  former financial advisor who was last employed by  Spartan Capital Securities disclose a regulatory event and two…

read more
  • Robert Rex, Esq.

Nathan Katz- Former American Independent Securities Broker- Discloses Regulatory Event and Customer Suits-Largo, FL
Nathan Katz- Former American Independent Securities Broker- Discloses Regulatory Event and Customer Suits-Largo, FL 150 150 Robert Rex, Esq.

September 2021- Largo, FL  According to publicly available records,  Nathan G. Katz a former financial advisor who was previously registered with American Independent Securities Group, discloses a regulatory event barring him from…

read more
  • Robert Rex, Esq.

Arizona Financial Planners-Sanctioned by Certified Financial Planning Board-September 2021 Update
Arizona Financial Planners-Sanctioned by Certified Financial Planning Board-September 2021 Update 150 150 Robert Rex, Esq.

UPDATED SEPTEMBER 2021 According to their website, the “Certified Financial Planner (CFP) Board is a non-profit organization acting in the public interest by fostering professional standards in personal financial planning through its setting and enforcement of…

read more
  • Robert Rex, Esq.

New Mexico Financial Planners-Sanctioned by Certified Financial Planning Board-September 2021 Update
New Mexico Financial Planners-Sanctioned by Certified Financial Planning Board-September 2021 Update 150 150 Robert Rex, Esq.

UPDATED SEPTEMBER 2021 According to their website, the “Certified Financial Planner (CFP) Board is a non-profit organization acting in the public interest by fostering professional standards in personal financial planning through its setting and enforcement of…

read more
  • Robert Rex, Esq.

New Jersey Certified Financial Planners Disciplined by CFP Board-SEPTEMBER 2021 UPDATE
New Jersey Certified Financial Planners Disciplined by CFP Board-SEPTEMBER 2021 UPDATE 150 150 Robert Rex, Esq.
According to their website, the “Certified Financial Planner (CFP) Board is a non-profit organization acting in the public interest by fostering professional standards in personal financial planning through its setting and enforcement of the education, examination, experience, ethics and other requirementments for CFP. “ The CFP Board can discipline those holding the CFP title in one of three ways: Public Letter of Admonition Temporary Suspension of CFP certification Revocation of individual’s CFP certification The list below, taken from the CFP board disciplinary page of their website, is a historical record of individuals from New Jersey who have been disciplined by CFP Board and does not imply that any listed discipline is currently in force. To verify an individual’s current certification status visit the CFP website here. Revocations Stuart Albert (Marlton) Michael R. read more
Enter your
text here

You cannot copy content of this page