• ER

Tyler Rigsbee- Former Wells Fargo Broker- Permanently Barred from FINRA- Sacramento, CA
Tyler Rigsbee- Former Wells Fargo Broker- Permanently Barred from FINRA- Sacramento, CA 150 150 ER

Tyler Rigsbee Investigation May  2022 – Sacramento, CA According to publicly attained records, Tyler Michael Rigsbee, a former stockbroker who was last employed by Wells Fargo Clearing Services,  discloses a…

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  • Robert Rex, Esq.

Oscar “Buddy”Jackson III- Former BFT Financial Adviser-Discloses Customer Suit & Termination of Employment- Wichita Falls, TX
Oscar “Buddy”Jackson III- Former BFT Financial Adviser-Discloses Customer Suit & Termination of Employment- Wichita Falls, TX 150 150 Robert Rex, Esq.

Oscar Jackson III Investigation April  2022 – Wichita Falls, Texas According to publicly obtained records, Oscar “Buddy” Jackson III, a former registered investment adviser,  who was last employed by Leo Wealth LLC,  disclose a prior…

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  • ER

Robert Halldin- Former American Portfolios Financial Broker- Permanently Barred from FINRA- Newington, CT
Robert Halldin- Former American Portfolios Financial Broker- Permanently Barred from FINRA- Newington, CT 150 150 ER

Robert Halldin Investigation April  2022 – Newington, CT According to publicly obtained records, Robert Halldin stockbroker who was last employed by American Portfolio Financial Services,  Inc.,  discloses a prior regulatory matter,…

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  • ER

Jan E. Haynes-Former Integrity Brokerage Services Broker-Discloses Customer Disputes and Regulatory Suspension-LaJolla, CA
Jan E. Haynes-Former Integrity Brokerage Services Broker-Discloses Customer Disputes and Regulatory Suspension-LaJolla, CA 150 150 ER

Jan E. Haynes Investigation March  2022- La Jolla, CA The FINRA records of  Jan Earl Haynes,  a  stock broker who is currently suspended by FINRA and who was last employed by Centaurus Financial,…

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  • ER

Michael “Mike” Conte- Former Fusion Analytics Securities Broker- Permanently Barred from FINRA- Coral Springs, FL
Michael “Mike” Conte- Former Fusion Analytics Securities Broker- Permanently Barred from FINRA- Coral Springs, FL 150 150 ER

Michael “Mike” Conte Investigation December 2021- Coral Springs, FL  According to publicly available records,  Michael “Mike” James Conte a broker previously employed with Fusion Analytics Securities discloses a prior regulatory event,…

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  • Robert Rex, Esq.

Sanders Spangler Investigation-Former LPL Financial Broker-Barred From Securities Industry & Settles Customer Suits-San Antonio, TX
Sanders Spangler Investigation-Former LPL Financial Broker-Barred From Securities Industry & Settles Customer Suits-San Antonio, TX 150 150 Robert Rex, Esq.

Sanders Spangler Investigation November 2021-San Antonio, Texas The FINRA records of  Sanders L. Spangler ,   a  former stockbroker who was once employed by  LPL Financial  disclose a regulatory matter, 6 prior customer disputes…

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  • Robert Rex, Esq.

Bryant Caveness-Former Ameriprise Financial Broker-Discloses Customer Suits-Kingsport, TN
Bryant Caveness-Former Ameriprise Financial Broker-Discloses Customer Suits-Kingsport, TN 150 150 Robert Rex, Esq.

Bryant Caveness Investigation November 2021-Kingsport, TN According to publicly available records,  Bryant E. Caveness, a former broker who was last employed by  Ameriprise Financial Services,  discloses  a recent regulatory matter, 3…

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  • ER

Joseph Alhadeff- Former National Securities Corporation Broker- Permanently Barred from FINRA- New York, NY
Joseph Alhadeff- Former National Securities Corporation Broker- Permanently Barred from FINRA- New York, NY 150 150 ER

Joseph Alhadeff Investigation August 2021- New York, NY According to publicly available records,  Joseph V. Alhadeff  a broker previously employed with National Securities Corporation discloses a prior regulatory event and a…

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  • ER

Matthew Jennings- Former Edward Jones Broker- Permanently Barred from FINRA- Johnston, IA
Matthew Jennings- Former Edward Jones Broker- Permanently Barred from FINRA- Johnston, IA 150 150 ER

Matthew T. Jennings Investigation August 2021- St. Louis, MO According to publicly available records,  Matthew Thomas Jennings a broker previously employed with Edward Jones discloses a prior regulatory event, a termination…

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  • ER

Thomas Stratton -Former World Choice Securities Broker-Barred from Securities Industry-Melbourne, FL
Thomas Stratton -Former World Choice Securities Broker-Barred from Securities Industry-Melbourne, FL 150 150 ER

Thomas Stratton Investigation September  2021 – Melbourne, FL According to publicly attained records, Thomas Ward Stratton, a stockbroker  who was last employed by World Choice Securities,  discloses a prior regulatory matter…

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