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Karen Cunningham- Kestra Investment Services Broker-Discloses $150K Customer Dispute- Oklahoma City, OK
Karen Cunningham- Kestra Investment Services Broker-Discloses $150K Customer Dispute- Oklahoma City, OK 150 150 ER

Karen S. Cunningham Investigation   March 2023- Oklahoma City, OK According to publicly available records Karen Shaw Cunningham,  a broker with Kestra Investment Services,  discloses a pending customer suit. The Financial…

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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 150 150 ER

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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Karen Shaw Cunningham- Kestra Advisory Services Broker-Discloses Pending Customer Dispute- Oklahoma City, OK
Karen Shaw Cunningham- Kestra Advisory Services Broker-Discloses Pending Customer Dispute- Oklahoma City, OK 150 150 ER

Karen  Cunningham Investigation   February 2023- Oklahoma City, OK According to publicly available records Karen Shaw Cunningham,  a broker employed by Kestra Advisory Services,  discloses a pending customer dispute. The Financial…

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Cliff Higgs- Securities Management and Research Broker-Discloses Customer Dispute – Denton, TX
Cliff Higgs- Securities Management and Research Broker-Discloses Customer Dispute – Denton, TX 150 150 ER

Cliff Higgs Investigation February 2023- Denton, TX According to publicly available records Clifton “Cliff” Paul Higgs,  a broker employed by Securities Management and Research, Inc.,  discloses a customer dispute. The Financial…

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Jon Ellefson- Intervest International Equities Broker-Discloses over 900K In Settlements and Pending Customer Disputes Involving GWG Bonds- Harker Heights, TX
Jon Ellefson- Intervest International Equities Broker-Discloses over 900K In Settlements and Pending Customer Disputes Involving GWG Bonds- Harker Heights, TX 150 150 ER

Jon Ellefson Investigation   February 2023- Harker Heights, TX According to publicly available records Jon Ellefson  a broker employed by Intervest International Equities Securities,  discloses three settled customer disputes and two…

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Jennifer White Marcontell- Ameriprise Financial Broker-Discloses Customer Dispute – Mont Belvieu, TX
Jennifer White Marcontell- Ameriprise Financial Broker-Discloses Customer Dispute – Mont Belvieu, TX 150 150 ER

Jennifer W. Marcontell Investigation February 2023- Mont Belvieu, TX According to publicly available records Jennifer White Marcontell   a broker employed by Ameriprise Financial Services,  discloses a final customer dispute. The Financial…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Center Street Securities Broker Glenn Romer
Rex Securities Law Investment Fraud Attorney Investigates Center Street Securities Broker Glenn Romer 150 150 Robert Rex, Esq.

Last Updated: September 2023 (Vero Beach, FL) Glenn Romer Investigation Summary Here’s what you need to know about Vero Beach, FL, stockbroker Glenn Romer: Name: Mr. Glenn J. Romer Current…

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  • Robert Rex, Esq.

Morgan Hill – Center Street Securities Broker-Customer Sues Over GWG L-Bond Losses – Woodstock, GA
Morgan Hill – Center Street Securities Broker-Customer Sues Over GWG L-Bond Losses – Woodstock, GA 150 150 Robert Rex, Esq.

Morgan Darby Hill/GWG L-Bond Investigation   October 2022- Woodstock, GA  According to publicly available records Morgan Darby Hill,  a broker formerly employed by Center Street Securities,  discloses a pending customer suit…

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  • Robert Rex, Esq.

Michael Mandarino- G.A. Repple Broker-Customer Disputes Over GWG L-Bonds-Apollo Beach, FL
Michael Mandarino- G.A. Repple Broker-Customer Disputes Over GWG L-Bonds-Apollo Beach, FL 150 150 Robert Rex, Esq.

Michael Mandarino G.A. Repple & Co./ GWG L-Bond   Investigation October 2022- Apollo Beach, Florida The FINRA records of  Michael W. Mandarino  ,  a broker with G.A. Repple and Company,  disclose recently a…

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  • Robert Rex, Esq.

Daniel Lerner, David Lerner’s Son- Subject of Regulatory Action Over Energy 11/Energy 12/ Spirit of America Energy Funds
Daniel Lerner, David Lerner’s Son- Subject of Regulatory Action Over Energy 11/Energy 12/ Spirit of America Energy Funds 150 150 Robert Rex, Esq.

Daniel Lerner  Energy 11, Energy Resources 12, Spirit of America Energy Fund   Investigation September 2022-Lawrenceville, NJ The FINRA records of  Daniel Lerner,  son of David Lerner and a broker with…

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