FINRA Archives

Robert Rex, Esq.
May 10, 2022

Triad Advisors Fined by Regulators Over LJM Preservation & Growth Fund -Atlanta, GA

Triad Advisors Fined by Regulators Over LJM Preservation & Growth Fund -Atlanta, GA https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g May 10, 2022 September 29, 2023

Triad Advisors Fined by Securities Regulators Over Sale of LJM Preservation & Growth Fund May 2022-Atlanta, GA Triad Advisors is a broker dealer headquartered in Atlanta, Ga. It has been a…

Robert Rex, Esq.
May 10, 2022

Torch Securities Fined by Regulators Over Private Placements -Sugar Land,TX

Torch Securities Fined by Regulators Over Private Placements -Sugar Land,TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g May 10, 2022 October 3, 2023

Torch Securities Fined by Securities Regulators May 2022-Sugar Land, TX Torch Securities is a broker dealer located in Sugar Land, TX that does investment banking, merger and acquisition work and…

Robert Rex, Esq.
May 10, 2022

Nobles & Richards Fined by Regulators Over Private Placements -Plano,TX

Nobles & Richards Fined by Regulators Over Private Placements -Plano,TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g May 10, 2022 September 29, 2023

Nobles & Richards Fined by Securities Regulators May 2022-Plano, TX Nobles & Richards, Inc. is a broker dealer located in Plano, TX that sells Oil and Gas private placements and…

ER
May 5, 2022

George McCaffrey- Former NTB Financial Broker- Permanently Barred from FINRA- Englewood, CO

George McCaffrey- Former NTB Financial Broker- Permanently Barred from FINRA- Englewood, CO 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 May 5, 2022 October 4, 2023

George L. McCaffrey Investigation May 2022 – Englewood, CO According to publicly available records, George Louis McCaffrey, a former stockbroker who was last employed by NTB Financial Corporation (formerly Neidiger…

ER
May 3, 2022

Juan Ceja- Former PFS Investments Broker- Permanently Barred from FINRA- Medford, OR

Juan Ceja- Former PFS Investments Broker- Permanently Barred from FINRA- Medford, OR 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 May 3, 2022 October 3, 2023

Juan Ceja Investigation May 2022 – Medford, OR According to publicly available records, Juan Manuel Ceja, a former stockbroker who was last employed by PFS Investments Inc., discloses a prior…

ER
May 3, 2022

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

Tyler Rigsbee- Former Wells Fargo Broker- Permanently Barred from FINRA- Sacramento, CA 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 May 3, 2022 September 30, 2023

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…

Robert Rex, Esq.
April 26, 2022

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 https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g April 26, 2022 October 4, 2023

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…

ER
April 22, 2022

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 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 April 22, 2022 October 2, 2023

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,…

Robert Rex, Esq.
November 23, 2021

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 https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g November 23, 2021 October 4, 2023

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…

Robert Rex, Esq.
October 1, 2021

Patrick Brown-Former Merrill Lynch Financial Advisor-Settles Customer Suit for $1.3M-Montgomery, AL

Patrick Brown-Former Merrill Lynch Financial Advisor-Settles Customer Suit for $1.3M-Montgomery, AL https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g October 1, 2021 October 3, 2023

Patrick L. Brown Investigation October 2021-Montgomery, AL According to publicly available records Patrick L. Brown , a stockbroker who was previously registered with Merrill Lynch, discloses the recent resolution of a customer…

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