Finra Investigation of Stockbroker Archives

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June 22, 2023

Roman Meyerhans- Raymond James Advisor -Discloses Regulatory Event and Customer Dispute- Miami, FL

Roman Meyerhans- Raymond James Advisor -Discloses Regulatory Event and Customer Dispute- 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 June 22, 2023 October 3, 2023

Roman Meyerhans Investigation June 2023- Miami, FL The FINRA records of Roman Meyerhans, a broker employed by Raymond James & Associates, Inc. disclose a regulatory matter and a customer dispute. The…

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June 22, 2023

Derek Rehill-VCS Venture Securities Broker-Discloses Regulatory Suspension – Garden City, NY

Derek Rehill-VCS Venture Securities Broker-Discloses Regulatory Suspension – Garden City, 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 June 22, 2023 October 3, 2023

Derek Rehill Investigation June 2023-Garden City, NY According to publicly available records Derek John Rehill, a VCS Venture Securities broker discloses a final regulatory matter. The Financial Industry Regulatory Authority (FINRA) is…

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June 22, 2023

Maria Acevez Perez- Former VectorGlobal Broker-Suspended 6 Months by Securities Regulator -Miami, FL

Maria Acevez Perez- Former VectorGlobal Broker-Suspended 6 Months by Securities Regulator -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 June 22, 2023 October 4, 2023

Maria Acevez Perez Investigation June 2023-Miami, FL According to publicly available records Maria Acevez Perez a broker employed by VectorGlobal WMG, discloses a regulatory matter resulting in a six month suspension…

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June 21, 2023

Rex Securities Law Investment Fraud Attorney Investigates Kevin Hobbs formerly with PFS Investments

Rex Securities Law Investment Fraud Attorney Investigates Kevin Hobbs formerly with PFS Investments 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 June 21, 2023 September 16, 2023

Last Updated: September 2023 (Lake Worth, FLA) Kevin Hobbs Investigation Summary Here’s what you need to know about Lake Worth, Florida , stockbroker Kevin Hobbs: Name: Mr. Kevin A. Hobbs…

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June 21, 2023

Mirso Muharemovic-Former Arive Capital Markets Broker-Discloses Regulatory Suspension and Three Prior Customer Disputes – Coram, NY

Mirso Muharemovic-Former Arive Capital Markets Broker-Discloses Regulatory Suspension and Three Prior Customer Disputes – Coram, 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 June 21, 2023 October 3, 2023

Mirso Muharemovic Investigation June 2023-Coram, NY According to publicly available records Mirso Muharemovic, a former Arive Capital Markets broker discloses a final regulatory matter and three prior customer disputes. The Financial Industry…

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June 21, 2023

Mike DeLuca-Fortune Financial Services Broker-Discloses Regulatory Suspension- New Brighton, PA

Mike DeLuca-Fortune Financial Services Broker-Discloses Regulatory Suspension- New Brighton, PA 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 June 21, 2023 October 3, 2023

Mike DeLuca Investigation June 2023-New Brighton, PA According to publicly available records Michael DeLuca, a Fortune Financial Services, Inc. broker discloses a final regulatory matter. The Financial Industry Regulatory Authority (FINRA) is…

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June 21, 2023

Kevin Klickna – Former Equitable Advisors Broker-Discloses Regulatory Suspension- Rochester, IL

Kevin Klickna – Former Equitable Advisors Broker-Discloses Regulatory Suspension- Rochester, IL 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 June 21, 2023 October 3, 2023

Kevin Klickna Investigation June 2023-Rochester, IL According to publicly available records Kevin Klickna a currently unregistered broker most recently employed with Equitable Advisors discloses a final regulatory matter and a termination…

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June 21, 2023

Edward Short-Laidlaw & Company Advisor Suspended by FINRA – Melville, NY

Edward Short-Laidlaw & Company Advisor Suspended by FINRA – Melville, 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 June 21, 2023 October 3, 2023

Edward Short Investigation June 2023-Melville, NY According to publicly available records Edward Scott Short, a broker previously with Laidlaw & Company discloses a final regulatory matter resulting in being permanently…

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June 21, 2023

Todd Cirella- Laidlaw & Company Broker-Suspended by Regulators -Melville, NY

Todd Cirella- Laidlaw & Company Broker-Suspended by Regulators -Melville, 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 June 21, 2023 September 30, 2023

Todd Cirella Investigation June 2023-Melville, NY According to publicly available records Todd Anthony Cirella a broker with Laidlaw & Company, Ltd., discloses a final regulatory matter resulting in a 3 month…