Failure to Supervise

  • Robert Rex, Esq.

Webull Financial Fined $3 Million – Failure to Exercise Due Diligence When Approving Option Traders
Webull Financial Fined $3 Million – Failure to Exercise Due Diligence When Approving Option Traders 150 150 Robert Rex, Esq.

Webull Financial LLC Investigation January  2025 – New York According to publicly obtained regulatory records, Webull Financial LLC , a FINRA registered broker dealer that offers low cost, self directed trading…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates McNally Financial Services Broker Mark Kemp
Rex Securities Law Investment Fraud Attorney Investigates McNally Financial Services Broker Mark Kemp 150 150 Robert Rex, Esq.

Last Updated: December 2024 (Corpus Christi, Texas) Mark Kemp Investigation Summary Here’s what you need to know about Corpus Christi, Texas, stockbroker Mark Kemp: Name: Mark Alan Kemp Current Employer:…

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Rex Securities Law Investment Fraud Attorney Investigates Dean Nowak formerly with Newbridge Securities
Rex Securities Law Investment Fraud Attorney Investigates Dean Nowak formerly with Newbridge Securities 150 150 ER

Last Updated: December 2024 (Winter Park, FL) Dean Nowak Investigation Summary Here’s what you need to know about Winter Park, FL, stockbroker Dean Nowak: Name: Mr. Dean Robert Nowak Current…

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Dennis “Denny” Haywood- Former Crown Capital Broker-Discloses 10 Prior Customer Disputes & Pending Customer Disputes- Land O’Lakes, FL
Dennis “Denny” Haywood- Former Crown Capital Broker-Discloses 10 Prior Customer Disputes & Pending Customer Disputes- Land O’Lakes, FL 150 150 ER

Denny Haywood Investigation September 2024- Land O’ Lakes, FL The FINRA records of  Dennis “Denny” Haywood , a stockbroker previously with  Crown Capital Securities, Inc. broker discloses a 10 prior customer…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Ariel Rivero formerly with Jefferies LLC
Rex Securities Law Investment Fraud Attorney Investigates Ariel Rivero formerly with Jefferies LLC 150 150 Robert Rex, Esq.

Last Updated: May 2024 (Miami, FL) Ariel Rivero Investigation Summary Here’s what you need to know about Miami, FL, stockbroker Ariel Rivero: Name: Mr. Ariel A. Rivero Current Employer: Insigneo…

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  • 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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Mark Williams-Former Centaurus Financial Broker- Settlement of Customer Disputes- Carmel, CA
Mark Williams-Former Centaurus Financial Broker- Settlement of Customer Disputes- Carmel, CA 150 150 ER

Mark Williams Investigation April 2024-Carmel by the Sea, CA According to publicly available records Mark John Williams ,  a former Centaurus Financial Inc., broker who now works for Kingswood Capital…

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Bob Boschke- Former CFD Investments Broker-Discloses 3 Terminations From Employment-St. Germain, WI
Bob Boschke- Former CFD Investments Broker-Discloses 3 Terminations From Employment-St. Germain, WI 150 150 ER

Bob Boschke Investigation April 2024- St. Germain, WI The FINRA records of  Robert “Bob” Boschke,   a  stockbroker previously employed by  CFD Investments, Inc.  and LPL Financial disclose  two regulatory actions and 3…

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Scott Bremus- Former LPL Broker- Discloses Customer Suit and Termination of Employment- Dacula, GA
Scott Bremus- Former LPL Broker- Discloses Customer Suit and Termination of Employment- Dacula, GA 150 150 ER

Scott Bremus Investigation April 2024- Dacula, GA According to publicly available records Scott Bremus,  a broker previously registered with LPL Financial discloses 2 regulatory events, 2 final customer disputes and…

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