Churning Archives

ER
March 13, 2023

Michael J. Petyak- Calton & Assoc. Financial Advisor -Discloses Pending Customer Dispute- Canton, MS

Michael J. Petyak- Calton & Assoc. Financial Advisor -Discloses Pending Customer Dispute- Canton, MS https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g March 13, 2023 October 3, 2023

Michael J. Petyak Investigation March 2023- Canton, MS According to publicly available records Michael J. Petyak, a broker currently employed by Calton & Associates, Inc., discloses a pending customer dispute. The Financial…

ER
March 8, 2023

Gerardo Castillo- Insigneo Securities Broker- Discloses Settlement of Customer Suit-Miami, FL

Gerardo Castillo- Insigneo Securities Broker- Discloses Settlement of Customer Suit-Miami, FL https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g March 8, 2023 October 2, 2023

Gerardo Castillo Investigation March 2023-Miami, FL According to publicly available records Gerardo I. Castillo, a broker who currently is working with Insigneo Services and before that, Wells Fargo, discloses settlement of…

ER
February 27, 2023

Howell Gregory Ferguson-LPL Broker- Discloses Suspension and Settlement of Customer Dispute- Bellville, TX

Howell Gregory Ferguson-LPL Broker- Discloses Suspension and Settlement of Customer Dispute- Bellville, TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g February 27, 2023 April 11, 2024

Howell Gregory Ferguson Investigation February 2023 – Bellville, TX The FINRA records of Howell Gregory Ferguson, an LPL broker, disclose a suspension and the settlement of a $58K customer dispute. The Financial Industry…

ER
September 23, 2022

Joseph Ambrosole- Former Joseph Stone Capital Advisor- Discloses Regulatory Events, Customer Suits and an IRS Lien – New York, NY

Joseph Ambrosole- Former Joseph Stone Capital Advisor- Discloses Regulatory Events, Customer Suits and an IRS Lien – New York, NY https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g September 23, 2022 October 3, 2023

Joseph Ambrosole Investigation September 2022- New York, NY According to publicly available records, Joseph Ambrosole a former FINRA registered representative who last worked for Joseph Stone Capital, discloses 5 prior…

Robert Rex, Esq.
September 9, 2022

North Carolina Securities Regulators Latest Enforcement News September 2022

North Carolina Securities Regulators Latest Enforcement News September 2022 https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g September 9, 2022 October 2, 2023

Securities Enforcement Actions Securities Division- North Carolina Secretary of State Raleigh, North Carolina-September 11, 2022 Founders of Fake “Hedge Fund” Plead Guilty to $4 Million Ponzi Scheme– Charlotte, N.…

Robert Rex, Esq.
September 1, 2022

Tim Petrou -Former Arive Capital Markets Broker-Suspended for Churning Customer Account-Ronkonkoma, NY

Tim Petrou -Former Arive Capital Markets Broker-Suspended for Churning Customer Account-Ronkonkoma, NY https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g September 1, 2022 October 4, 2023

Efthimios (Tim) Petrou Investigation September 2022 – Ronkonkoma, NY According to publicly attained records, Efthimios (Tim) Petrou, a stockbroker who was last employed by Arive Capital Markets , discloses a recent…

Robert Rex, Esq.
August 30, 2022

David W. Lentz-Former Kestra Broker-Has Customer Suit Seeking $2M- Alleges Churning – Kernersville, NC

David W. Lentz-Former Kestra Broker-Has Customer Suit Seeking $2M- Alleges Churning – Kernersville, NC https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 30, 2022 October 4, 2023

David Lentz Investigation August 2022-Kernersville, North Carolina The FINRA records of David W. Lentz, a former Kestra Investment Services broker and owner of Thorium Wealth Management disclose a pending customer dispute seeking millions in damages. The Financial Industry…

Robert Rex, Esq.
August 24, 2022

Can I Sue My Stockbroker or Financial Advisor for Losses?

Can I Sue My Stockbroker or Financial Advisor for Losses? https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 24, 2022 September 29, 2023

YES-You Can How to Recover Losses Caused by Your Stockbroker or Financial Advisor The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA…

Robert Rex, Esq.
August 15, 2022

Shadi Barakat- Spartan Capital Broker-Discloses Customer Suits-NYC

Shadi Barakat- Spartan Capital Broker-Discloses Customer Suits-NYC https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 15, 2022 October 3, 2023

Shadi Barakat Investigation August 2022 -New York The FINRA records of Shadi Taysir Barakat, a stock broker who is currently employed by Spartan Capital Securities disclose 3 regulatory events, a currently pending customer dispute, 3…