Forgery

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Rex Securities Law Investment Fraud Attorney Investigates Lee Rycraft formerly with LPL Financial
Rex Securities Law Investment Fraud Attorney Investigates Lee Rycraft formerly with LPL Financial 150 150 ER

Last Updated: October 2023 (Watertown, South Dakota) Lee Rycraft Investigation Summary Here’s what you need to know about Watertown, SD, stockbroker Lee Rycraft: Name: Mr. Lee Harold Rycraft Current Employer:…

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  • Robert Rex, Esq.

Gregg Ferguson- Former LPL Financial Broker- Discloses Pending Customer Dispute & Regulatory Sanction -Bellville, TX
Gregg Ferguson- Former LPL Financial Broker- Discloses Pending Customer Dispute & Regulatory Sanction -Bellville, TX 150 150 Robert Rex, Esq.

Gregg Ferguson Investigation May 2022- Bellville, TX  According to publicly available records, Howell Gregory “Gregg” Ferguson, an LPL Financial broker discloses a regulatory sanction and a pending customer dispute. The…

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Derek Johnson- Former J.P. Morgan Broker- Discloses Pending $3M Customer Dispute -Brea, CA
Derek Johnson- Former J.P. Morgan Broker- Discloses Pending $3M Customer Dispute -Brea, CA 150 150 ER

Derek Johnson Investigation May 2022-Brea, CA According to publicly available records, Derek Michael Johnson, a former J.P. Morgan  broker discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is…

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Jordan S. Berlin- Former Wilmington Capital Broker- Suit Settled Over REIT Investments-Garden City, NY
Jordan S. Berlin- Former Wilmington Capital Broker- Suit Settled Over REIT Investments-Garden City, NY 150 150 ER

Jordan S. Berlin Investigation May 2022-Garden City, NY According to publicly available records, Jordan S. Berlin, a former Wilmington Capital Securities broker discloses a prior customer dispute. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

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 150 150 Robert Rex, Esq.

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…

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Andrew “Andy” Durham- Former Allstate Financial Services Broker- Suspended by Regulator -Greenwood, SC
Andrew “Andy” Durham- Former Allstate Financial Services Broker- Suspended by Regulator -Greenwood, SC 150 150 ER

Andrew “Andy” Durham Investigation November  2021-Greenwood, SC According to publicly available records. Andy T. Durham , a stockbroker formerly employed by Allstate Financial Services  discloses a regulatory suspension. The Financial Industry…

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Thomas Barone – Former NYLife Securities Broker- Discloses Regulatory Event, Customer Suit & Termination From Employment- New Orleans, LA
Thomas Barone – Former NYLife Securities Broker- Discloses Regulatory Event, Customer Suit & Termination From Employment- New Orleans, LA 150 150 ER

August 2021- New Orleans, LA According to publicly recorded records, Thomas J. Barone ,  a currently unregistered  financial advisor who was last employed by NYLife Securities,  discloses a regulatory event, …

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  • Robert Rex, Esq.

Keith Ashley-Parkland Securities Broker/ Allen Brewery Owner-Charged with Murder of Client-Carrollton, TX
Keith Ashley-Parkland Securities Broker/ Allen Brewery Owner-Charged with Murder of Client-Carrollton, TX 150 150 Robert Rex, Esq.

November 2020- Dallas, TX  ASHLEY ACCUSED OF MURDERING CLIENT AND STAGING COVERUP TO LOOK LIKE SUICIDE According to  Fox4 KDFW news, Nine Band Brewing owner and former Parkland Securities financial…

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  • Robert Rex, Esq.

Robert Nordaune-Former Thrivent Investment Broker-Discloses Regulatory Event and Termination-Montevideo, MN
Robert Nordaune-Former Thrivent Investment Broker-Discloses Regulatory Event and Termination-Montevideo, MN 150 150 Robert Rex, Esq.

October 2020- Montevideo, MN According to publicly available records Robert Nordaune (CRD#2313216), a  former stockbroker who last worked for Thrivent Investment, Inc.,  discloses a regulatory event and a termination from…

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