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Joseph Olheiser -Cabot Lodge Securities Broker- Discloses Regulatory Event and a Termination From Employment- Mountain View, CA
Joseph Olheiser -Cabot Lodge Securities Broker- Discloses Regulatory Event and a Termination From Employment- Mountain View, CA 150 150 ER

August 2021 -Mountain View, CA According to publicly recorded records, Joseph D. Olheiser,  a financial advisor currenlty employed by Cabot Lodge Securities,  discloses a regulatory event, a bankruptcy and a…

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Todd Phillips -Former Moloney Securities Broker-Suspended by FINRA-Gilbert, AZ
Todd Phillips -Former Moloney Securities Broker-Suspended by FINRA-Gilbert, AZ 150 150 ER

August  2021 – Gilbert, AZ According to publicly attained records, David “Todd” Phillips, a stockbroker who is not currently registered  and who was last employed by Moloney Securities, Co., Inc. ,…

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Mark Just – Former Triad Advisors Broker-Discloses Regulatory Event & Customer Suits- Indianapolis, IN
Mark Just – Former Triad Advisors Broker-Discloses Regulatory Event & Customer Suits- Indianapolis, IN 150 150 ER

August 2021 – Indianapolis, IN According to publicly available records of Mark William Just (CRD#1138738) ,  a broker who was last employed with Triad Advisors, Inc.,  discloses  a regulatory event, a…

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  • Robert Rex, Esq.

Charles Stevens-Former D.H. Hill Broker-Discloses Regulatory Event, 2 Settled Customer Disputes, Pending Dispute and 5 IRS Liens- St. Augustine, FL
Charles Stevens-Former D.H. Hill Broker-Discloses Regulatory Event, 2 Settled Customer Disputes, Pending Dispute and 5 IRS Liens- St. Augustine, FL 150 150 Robert Rex, Esq.

July 2021-St. Augustine, FL According to publicly available records,  formerly a D.H. Hill Securities  financial advisor Charles Stevens,  discloses a regulatory event under review, 2 settled customer disputes and 1 pending…

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  • Robert Rex, Esq.

Richard Demetriou -Titan Securities Broker-Permanently Barred from FINRA- Addison, TX
Richard Demetriou -Titan Securities Broker-Permanently Barred from FINRA- Addison, TX 150 150 Robert Rex, Esq.

Richard Demetriou Investigation Former Titan Securities Financial Advisor June 2021 – Addison, TX According to publicly available records, former Titan Securities,  financial advisor Richard Demetriou,  has been barred from the securities…

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  • Robert Rex, Esq.

Dale Johnson, Jr. -Stifel, Nicolaus & Company Broker-Discloses Pending Dispute-Abilene, TX
Dale Johnson, Jr. -Stifel, Nicolaus & Company Broker-Discloses Pending Dispute-Abilene, TX 150 150 Robert Rex, Esq.

June 2020 -Abilene, TX The FINRA records of Dale Franklin Johnson  , a stockbroker registered with Stifel, Nicolaus & Company , disclose a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that…

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  • Robert Rex, Esq.

Narinder Singh (aka Dutt)-Former Farmers Financial Solutions Broker- Discloses Customer Disputes-Sacrament, CA
Narinder Singh (aka Dutt)-Former Farmers Financial Solutions Broker- Discloses Customer Disputes-Sacrament, CA 150 150 Robert Rex, Esq.

May 2020-Sacramento, CA According to publicly available records of Narinder K. Singh (aka Narinder Dutt)  (CRD#3100308) ,  a  former stockbroker who last worked for Farmers Financial Solutions, discloses a final customer…

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  • Robert Rex, Esq.

Michael Kamperman-Former HD Vest Broker-Discloses Regulatory Event, Customer Disputes and a Tax Lien-Waco, TX
Michael Kamperman-Former HD Vest Broker-Discloses Regulatory Event, Customer Disputes and a Tax Lien-Waco, TX 150 150 Robert Rex, Esq.

May 2020-Waco, TX According to publicly available records of Michael Kamperman (CRD#2002603) ,  a  former stockbroker who last worked for HD Vest Investment Services  discloses  a regulatory event, customer disputes and…

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  • Robert Rex, Esq.

James D’Meo-Former Kenneth, Jerome & Co., Inc. Broker- Permanently Barred from FINRA
James D’Meo-Former Kenneth, Jerome & Co., Inc. Broker- Permanently Barred from FINRA 150 150 Robert Rex, Esq.

March 2020- Florham Park, NJ According to publicly available records.  James D. D’Meo, (CRD#1444759), a  former stockbroker who last worked for Kenneth, Jerome & Co., Inc.,  discloses 2 regulatory events,…

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  • Robert Rex, Esq.

Abed William Lulu-Former Worden Capital Broker- Discloses 6 Regulatory Event & Customer Suits – Melville, NY
Abed William Lulu-Former Worden Capital Broker- Discloses 6 Regulatory Event & Customer Suits – Melville, NY 150 150 Robert Rex, Esq.

June 2019-Melville, NY The FINRA records of  Abed William Lulu ,  a  financial advisor previously employed by  Worden Capital Management disclose 6 regulatory events,  3 prior customer disputes, 4 outstanding judgments. The…

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