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Centaurus Broker Ricky Alan Mantei Subject of Numerous Customer Complaints Ordered to Cease and Desist- Lexington, SC
Centaurus Broker Ricky Alan Mantei Subject of Numerous Customer Complaints Ordered to Cease and Desist- Lexington, SC 150 150 ER

Ricky Alan Mantei Investigation Updated December 2023 Former JP Turner & Centaurus Customers Have Sued for Damages-Sold Variable Interest Rate Structured ProductsLexington, SC The FINRA records of Ricky Alan Mantei, currently employed…

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Kenneth New- Center Street Securities Broker-Facing Suit Over GWG L-Bond Losses – Merritt Island, FL
Kenneth New- Center Street Securities Broker-Facing Suit Over GWG L-Bond Losses – Merritt Island, FL 150 150 Robert Rex, Esq.

Kenneth New/Center State Securities/GWG L-Bond Investigation   Updated December 2023 Merritt Island, FL  According to publicly available records Kenneth J. New,  a broker currently employed by Arete Wealth Management,  discloses several…

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Kirk Badii-Former UBS Broker-$525K Settlement to Elderly Homemaker-Southlake, TX
Kirk Badii-Former UBS Broker-$525K Settlement to Elderly Homemaker-Southlake, TX 150 150 Robert Rex, Esq.

Kirk Badii Investigation December 2023 update Southlake, TX The FINRA records of  Kirk Badii,  a  stockbroker who previously worked for UBS Financial Services , disclose setlement of a customer dispute  and 2 terminations from…

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Mark Cline – Former National Securities Corp. Broker-GWG L- Bond Suits – Wildwood, FL
Mark Cline – Former National Securities Corp. Broker-GWG L- Bond Suits – Wildwood, FL 150 150 ER

Mark Alan Cline & GWG L-Bond Investigation Updated December 2023 Wildwood, FL The FINRA records of Mark Allen Cline,  a former National Securities Corp.  broker discloses 18 settled prior suits and…

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  • Robert Rex, Esq.

Nick Giallourakis- Newbridge Securities Broker-Discloses Customer Disputes-Clearwater, FL
Nick Giallourakis- Newbridge Securities Broker-Discloses Customer Disputes-Clearwater, FL 150 150 Robert Rex, Esq.

Updated: December 2023 Clearwater, Florida Newbridge Securities broker Nicholas M.  Giallourakis  discloses 4 prior final customer disputes on his FINRA records. In 10.2023 a customer of Newbridge Securities was paid $14,999…

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Walter Leighton Stallones-former Momentum Independent Network Broker-Discloses Settlement of Customer Disputes-San Marcos, TX
Walter Leighton Stallones-former Momentum Independent Network Broker-Discloses Settlement of Customer Disputes-San Marcos, TX 150 150 Robert Rex, Esq.

October 2023 – San Marcos, Texas According to publicly available records Walter L. (Leighton) Stallones , (CRD# 433344) ,  a  stockbroker who is not currently registered and who was last employed by…

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Rex Securities Law Investment Fraud Attorney Investigates R. Douglas Armstrong formerly with Dawson James Securities
Rex Securities Law Investment Fraud Attorney Investigates R. Douglas Armstrong formerly with Dawson James Securities 150 150 Robert Rex, Esq.

Last Updated: September 2023 (North Palm Beach, FL) Douglas Armstrong Investigation Summary Here’s what you need to know about North Palm Beach, FL stockbroker Douglas Armstrong: Name: Mr. Robert Douglas…

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Centaurus Broker Atul Makharia Subject of Regulatory Sanctions/ Customer Complaints Over Sale of Variable Interest Rate Structured Products- Lexington, SC
Centaurus Broker Atul Makharia Subject of Regulatory Sanctions/ Customer Complaints Over Sale of Variable Interest Rate Structured Products- Lexington, SC 150 150 Robert Rex, Esq.

Atul Makharia Investigation Sold Variable Interest Rate Structured Products July 2023-Lexington, SC The FINRA records of Atul Makharia, currently employed by Centaurus Financial, disclose a  regulatory event, 9 prior customer disputes and…

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Madison Avenue Securities Fined By Texas Securities Regulators Over GPB Automotive Sales
Madison Avenue Securities Fined By Texas Securities Regulators Over GPB Automotive Sales 150 150 Robert Rex, Esq.

Texas Regulators Fine Madison Avenue Securities GPB Automotive Portfolio, LP    June 2023- Austin, Texas San Diego based Madison Avenue Securities was fined $20,000 by the Texas State Securities Board…

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Craig Accardo – FSC Securities Broker- Discloses $3.5 M settlement of Customer Dispute -Metairie, LA
Craig Accardo – FSC Securities Broker- Discloses $3.5 M settlement of Customer Dispute -Metairie, LA 150 150 ER

Craig Accardo Investigation June 2023-Metairie, LA According to publicly available records Craig Accardo a FSC Securities Corporation broker discloses a prior customer dispute and a pending customer dispute. The Financial…

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