Misrepresentation

  • ER

John Zaffarano-Newbridge Securities Broker- Discloses Pending $185K Customer Dispute – Boca Raton, FL
John Zaffarano-Newbridge Securities Broker- Discloses Pending $185K Customer Dispute – Boca Raton, FL 150 150 ER

John Zaffarano Investigation Updated December 2023 Boca Raton, FL  According to publicly available records,  John Zaffarano  a Newbridge Securities Corporation broker recently settled a  customer dispute. The Financial Industry Regulatory…

read more
  • ER

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…

read more
  • 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…

read more
  • Robert Rex, Esq.

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…

read more
  • Robert Rex, Esq.

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…

read more
  • Robert Rex, Esq.

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…

read more
  • Robert Rex, Esq.

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…

read more
  • ER

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…

read more
  • ER

John Terzis – Former LPL Financial Broker- Barred From Securities Industry by Regulators -Skokie, IL
John Terzis – Former LPL Financial Broker- Barred From Securities Industry by Regulators -Skokie, IL 150 150 ER

John Terzis Investigation June 2023-Skokie, IL According to publicly available records John Terzis a former broker who last worked for LPL Financial Services ,  discloses a final regulatory matter resulting in…

read more
Enter your
text here
Verified by MonsterInsights