Finra Investigation of Stockbroker Archives

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March 8, 2023

Gerardo Castillo- Insigneo Securities Broker- Discloses Settlement of Customer Suit-Miami, FL

Gerardo Castillo- Insigneo Securities Broker- Discloses Settlement of Customer Suit-Miami, FL https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/2d44fc1bb37bf9f3e58c25efde680e115458389810b3021a82de67eab0575506?s=96&d=mm&r=g March 8, 2023 October 2, 2023

Gerardo Castillo Investigation March 2023-Miami, FL According to publicly available records Gerardo I. Castillo, a broker who currently is working with Insigneo Services and before that, Wells Fargo, discloses settlement of…

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February 28, 2023

Annetta Marie Box – Former Cambridge Investment Research Broker-Barred From Securities Industry by Regulators -Dallas, TX

Annetta Marie Box – Former Cambridge Investment Research Broker-Barred From Securities Industry by Regulators -Dallas, TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/2d44fc1bb37bf9f3e58c25efde680e115458389810b3021a82de67eab0575506?s=96&d=mm&r=g February 28, 2023 October 3, 2023

Annetta Marie Box Investigation February 2023- Dallas, TX According to publicly available records Annetta Marie Box,a former broker who last worked for Cambridge Investment Research, discloses a final regulatory matter resulting…

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February 28, 2023

Raymond Jennison, Jr.- Former First Canterbury Securities Broker-Barred From Securities Industry by Regulators -Wichita Falls, TX

Raymond Jennison, Jr.- Former First Canterbury Securities Broker-Barred From Securities Industry by Regulators -Wichita Falls, TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/2d44fc1bb37bf9f3e58c25efde680e115458389810b3021a82de67eab0575506?s=96&d=mm&r=g February 28, 2023 October 5, 2023

Raymond Jennison, Jr. Investigation February 2023-Dallas, TX According to publicly available records, Raymond Jennison, Jr. a former broker who last worked for First Canterbury Securities, Inc., discloses a final regulatory matter…

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February 28, 2023

Crystal Turk-Former JP Morgan Broker-Discloses Suspension and Termination of Employment-Dallas, TX

Crystal Turk-Former JP Morgan Broker-Discloses Suspension and Termination of Employment-Dallas, TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/2d44fc1bb37bf9f3e58c25efde680e115458389810b3021a82de67eab0575506?s=96&d=mm&r=g February 28, 2023 October 3, 2023

Crystal Turk Investigation February 2023 – Dallas, TX According to publicly attained records, Crystal Turk, a stockbroker who was last employed by JP Morgan Securities , discloses a 2 month regulatory…

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February 28, 2023

Ernest Frerking – Former Merrill Lynch Broker-Barred From Securities Industry by Regulators, Discloses $200K Settlement -Austin, TX

Ernest Frerking – Former Merrill Lynch Broker-Barred From Securities Industry by Regulators, Discloses $200K Settlement -Austin, TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/2d44fc1bb37bf9f3e58c25efde680e115458389810b3021a82de67eab0575506?s=96&d=mm&r=g February 28, 2023 October 2, 2023

Ernest Frerking Investigation February 2023- Austin, TX According to publicly availble records Ernest Frerking, a former broker who last worked for Merrill Lynch, discloses a final regulatory matter resulting in a permanent…

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February 28, 2023

Kyle Wittgren -Former NYLife Broker-Subject of 2 Regulatory Events and Termination from Employment-Frisco, TX

Kyle Wittgren -Former NYLife Broker-Subject of 2 Regulatory Events and Termination from Employment-Frisco, TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/2d44fc1bb37bf9f3e58c25efde680e115458389810b3021a82de67eab0575506?s=96&d=mm&r=g February 28, 2023 October 3, 2023

Kyle Wittgren Investigation February 20, 2023- Frisco, TX The FINRA records of Kyle Wittgren, a stock broker previously employed by NYLife Securities, disclose 2 regulatory events and a termination from employment. The…

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February 27, 2023

Corrie Ann Mitchell-Former Cambridge Investment Research Broker- Barred from FINRA -San Antonio, TX

Corrie Ann Mitchell-Former Cambridge Investment Research Broker- Barred from FINRA -San Antonio, TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/2d44fc1bb37bf9f3e58c25efde680e115458389810b3021a82de67eab0575506?s=96&d=mm&r=g February 27, 2023 October 4, 2023

Corrie Mitchell Investigation February 2023 – San Antonio, TX According to publicly attained records, Corrie Mitchell, a stockbroker who was last employed by Cambridge Investment Research, Inc, discloses that she was…

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February 27, 2023

Derick Strickland – Former Allstate Financial Services Broker -Barred From Securities Industry by Regulators -Houston, TX

Derick Strickland – Former Allstate Financial Services Broker -Barred From Securities Industry by Regulators -Houston, TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/2d44fc1bb37bf9f3e58c25efde680e115458389810b3021a82de67eab0575506?s=96&d=mm&r=g February 27, 2023 October 3, 2023

Derick Strickland Investigation February 2023 – Houston, TX According to publicly available records Derick Strickland,a former broker who last worked for Allstate Financial Services, discloses a final regulatory matter resulting in…

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February 27, 2023

Darrell P. Roberts – Former Spire Securities Broker -Barred From Securities Industry by Regulators -Richardson, TX

Darrell P. Roberts – Former Spire Securities Broker -Barred From Securities Industry by Regulators -Richardson, TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/2d44fc1bb37bf9f3e58c25efde680e115458389810b3021a82de67eab0575506?s=96&d=mm&r=g February 27, 2023 October 5, 2023

Darrell Roberts Investigation February 2023 – Richardson, TX According to publicly available records Darrell Roberts,a former broker who last worked for Spire Securities, discloses a final regulatory matter resulting in a…

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February 27, 2023

Dustin Goss – Former Park Avenue Securities Broker -Barred From Securities Industry by Regulators -Austin, TX

Dustin Goss – Former Park Avenue Securities Broker -Barred From Securities Industry by Regulators -Austin, TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/2d44fc1bb37bf9f3e58c25efde680e115458389810b3021a82de67eab0575506?s=96&d=mm&r=g February 27, 2023 October 5, 2023

Dustin Goss Investigation February 2023 – Austin, TX According to publicly available records Dustin Goss, a former broker who last worked for Park Avenue Services, discloses a final regulatory matter resulting…

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