Concentrated Positions

  • Robert Rex, Esq.

Sean Brady-Former First Allied Securities Broker-Millions in Settlements Paid to Former Customers-St. Louis, MO
Sean Brady-Former First Allied Securities Broker-Millions in Settlements Paid to Former Customers-St. Louis, MO 150 150 Robert Rex, Esq.

April 2024- St. Louis, MO The FINRA records of  Sean Aaron Brady ,  a  former stock broker who is not currently registered and who was last employed by First Allied Securities ,  disclose  that he was…

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  • ER

Valentino Michael Scott- Centaurus Financial Broker-Discloses Award and Pending Customer Disputes- West Hills, CA
Valentino Michael Scott- Centaurus Financial Broker-Discloses Award and Pending Customer Disputes- West Hills, CA 150 150 ER

Valentino Michael Scott Investigation June 2023- West Hills, CA The FINRA records of  Valentino Michael Scott, a  Centaurus Financial, Inc. broker, disclose  customer disputes. The Financial Industry Regulatory Authority (FINRA) is the agency…

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  • Robert Rex, Esq.

Jon Pyne-Berthel Fisher Financial Advisor Discloses Settlement of Customer Suits-Plymouth, MN
Jon Pyne-Berthel Fisher Financial Advisor Discloses Settlement of Customer Suits-Plymouth, MN 150 150 Robert Rex, Esq.

Jon Pyne Investigation April 2023 -Plymouth, MN Jonathan Todd Pyne (aka Jon Pyne )  ,a  stockbroker who is currently registered with Berthel Fisher & Co. Financial Services discloses 8 prior final…

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  • ER

Dennis “Denny” Haywood- Former Crown Capital Broker-Discloses 9 Prior Customer Disputes And 2 Pending Customer Disputes- Land O’Lakes, FL
Dennis “Denny” Haywood- Former Crown Capital Broker-Discloses 9 Prior Customer Disputes And 2 Pending Customer Disputes- Land O’Lakes, FL 150 150 ER

Denny Haywood Investigation July 2022- Land O’ Lakes, FL The FINRA records of  Dennis “Denny” Haywood ,   a stockbroker previously with  Crown Capital Securities, Inc. broker discloses a 9 prior customer…

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  • Robert Rex, Esq.

Mark A. Thompson- Former Arkadios Broker-Customer Seeks a Million in Damages Over Alternative Investment Losses-Atlanta, GA
Mark A. Thompson- Former Arkadios Broker-Customer Seeks a Million in Damages Over Alternative Investment Losses-Atlanta, GA 150 150 Robert Rex, Esq.

Mark A. Thompson Investigation May 2022- Atlanta, GA The FINRA records of  Mark Alan Thompson ,   a  stockbroker who is employed by  Arkadios Capital  disclose a pending customer dispute. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Jody Young formerly with Arkadios Capital
Rex Securities Law Investment Fraud Attorney Investigates Jody Young formerly with Arkadios Capital 150 150 Robert Rex, Esq.

Last Updated: November 2023 (Atlanta, GA) Jody Young Investigation Summary Here’s what you need to know about Atlanta, GA, stockbroker Jody Young: Name: Mr. Joseph Paul Young, Jr. Current Employer:…

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  • Robert Rex, Esq.

Patrick Chitwood- Former Arkadios Broker-Customer Seeks a Million in Damages Over Alternative Investment Losses-Birmingham, AL
Patrick Chitwood- Former Arkadios Broker-Customer Seeks a Million in Damages Over Alternative Investment Losses-Birmingham, AL 150 150 Robert Rex, Esq.

Patrick Chitwood Investigation August 2022-Birmingham, AL The FINRA records of  Patrick Rankin Chitwood ,  owner of Chitwood Advisory Group and Chitwood Wealth Management,  a  stockbroker who was formerly employed by  Arkadios Capital  disclose a…

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  • ER

Chad Barancyk- Former First Allied Broker- Subject of Customer Claims Exceeding $2M Involving REITs & Private Placements -Chicago, IL/ Naples, FL
Chad Barancyk- Former First Allied Broker- Subject of Customer Claims Exceeding $2M Involving REITs & Private Placements -Chicago, IL/ Naples, FL 150 150 ER

Chad Barancyk Investigation May 2022-Chicago, IL/Naples, FL  The FINRA records of Chad Barancyk, a former First Allied Securities  broker,  discloses a regulatory event and 8 pending customer disputes which seek…

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