• 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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Wade Theo Papas-Former National Securities Broker-Subject of Customer Complaints Involving REITs Seeking $286K- New York, NY
Wade Theo Papas-Former National Securities Broker-Subject of Customer Complaints Involving REITs Seeking $286K- New York, NY 150 150 ER

Wade Theo Papas Investigation April 2023-New York, NY According to publicly available records Wade Theo Papas, a former National Securities Corporation broker discloses 2 pending customer disputes. The Financial Industry Regulatory…

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Heath Goldstein-Western International Securities Broker-Three prior and Six Pending Customer Suits- Clarks Summit, PA
Heath Goldstein-Western International Securities Broker-Three prior and Six Pending Customer Suits- Clarks Summit, PA 150 150 ER

Heath Goldstein Investigation   April 2023-Clarks Summit, PA According to publicly available records Heath Gary Goldstein,  a broker employed by Western International Securities discloses $821,209 in final customer disputes and multiple pending customer…

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Nickolay Kukukov-Former Paulson Investment Broker-Discloses Regulatory Suspension and Termination From Employment- New York, NY
Nickolay Kukukov-Former Paulson Investment Broker-Discloses Regulatory Suspension and Termination From Employment- New York, NY 150 150 ER

Nickolay Kukukov Investigation April 2023-New York NY According to publicly available records Nickolay Kukukov , a former broker who last worked for Paulson Investment Company,  discloses a final regulatory matter a…

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Christopher Passero-Money Concepts Capital Broker-Discloses Prior Customer Disputes & Regulatory Issues-Hurricane, WV
Christopher Passero-Money Concepts Capital Broker-Discloses Prior Customer Disputes & Regulatory Issues-Hurricane, WV 150 150 ER

Christopher Passero Investigation March 2023-Hurricane, WV According to publicly available records Christopher John Passero,  a Money Concepts Capital Corp. broker discloses a regulatory event, prior customer dispute and a pending…

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Amit Kumar Bhatia-Former Raymond James Broker-Discloses a Regulatory Suspension – New York, NY
Amit Kumar Bhatia-Former Raymond James Broker-Discloses a Regulatory Suspension – New York, NY 150 150 ER

Amit Bhatia Investigation March 2023-New York NY According to publicly available records Amit Kumar Bhatia , a former broker who last worked for Raymond James,  discloses a final regulatory matter. The…

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Christopher Blumer- Former SW. Financial Broker-Discloses Award and Pending Customer Dispute-New York, NY
Christopher Blumer- Former SW. Financial Broker-Discloses Award and Pending Customer Dispute-New York, NY 150 150 ER

Christopher Blumer Investigation March 2023- New York, NY The FINRA records of Michael Christopher Blumer, a former SW Financial broker who currently works for Spartan Capital Securities,  disclose two pending and two prior…

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Shad Ketcher- J.W. Cole Financial Broker-Discloses Settlement of Customer Dispute- Hutchinson, MN
Shad Ketcher- J.W. Cole Financial Broker-Discloses Settlement of Customer Dispute- Hutchinson, MN 150 150 ER

Shad Ketcher Investigation May 2022-Hutchinson, MN The FINRA records of  Shad Ketcher,  a J. W. Cole Financial, Inc. broker disclose settlement of a customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…

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Robert D’Agosta- IBN Financial Broker-Discloses $700,000+ in Customer Disputes- Bethlehem, PA
Robert D’Agosta- IBN Financial Broker-Discloses $700,000+ in Customer Disputes- Bethlehem, PA 150 150 ER

Robert D’Agosta Investigation March 2023- Bethlehem, PA The FINRA records of   Robert D’Agosta, an IBN Financial Services, Inc. broker,  disclose a a regulatory event, an arbitration award and 3 prior customer disputes.…

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Janie Garza-Clark-Former TCFG Wealth Management Broker-Barred From Securities Industry by Regulators – Scottsdale, AZ
Janie Garza-Clark-Former TCFG Wealth Management Broker-Barred From Securities Industry by Regulators – Scottsdale, AZ 150 150 ER

Janie Garza-Clark Investigation March 2023-Scottsdale, AZ  According to publicly available records Janie Garza-Clark , a former broker who last worked for TCFG Wealth Management,  discloses a final regulatory matter resulting in…

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