• ER

Edmund “Eddie” Murphy- Former Robert W. Baird Discloses Customer Disputes – Naples, FL
Edmund “Eddie” Murphy- Former Robert W. Baird Discloses Customer Disputes – Naples, FL 150 150 ER

Edmund P. Murphy Investigation May 2022- Naples, FL According to publicly available records Edmund “Eddie” P. Murphy,  a broker previously registered with Robert W. Baird & Co., discloses a final…

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  • Robert Rex, Esq.

Hector M. Flores- Former MML Investors Services Broker-Suspended by Regulators/ Sued for $750K- Lubbock, TX
Hector M. Flores- Former MML Investors Services Broker-Suspended by Regulators/ Sued for $750K- Lubbock, TX 150 150 Robert Rex, Esq.

Hector Flores Investigation May 2022-Lubbock, TX  According to publicly available records Hector Mario Flores, a broker who last worked for  MML Investors Services,  discloses a final regulatory matter, a settled customer…

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  • ER

Elizabeth Layne-Morgan Stanley Broker-Customer Alleges $15M+ In Damages Over Option Trading -Atlanta, GA
Elizabeth Layne-Morgan Stanley Broker-Customer Alleges $15M+ In Damages Over Option Trading -Atlanta, GA 150 150 ER

Elizabeth Layne Investigation May 2022- Atlanta, GA According to publicly available records Elizabeth M. Layne (aka Elizabeth Muse Hearn & Elizabeth Anne Muse) a  broker with Morgan Stanley Smith Barney discloses a large…

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  • ER

Dustin Ward- Woodbury Financial Broker- Discloses 2 Pending Customer Suits -St. Louis, MO
Dustin Ward- Woodbury Financial Broker- Discloses 2 Pending Customer Suits -St. Louis, MO 150 150 ER

Dustin Ward Investigation May 2022 – St. Louis, MO According to publicly available records, Dustin Ward, a Woodbury Financial broker discloses 2 pending customer disputes. The Financial Industry Regulatory Authority (FINRA)…

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  • ER

Chadwick Collins-Former Kestra Broker-Discloses Customer Disputes and a Termination-Carlsbad, CA
Chadwick Collins-Former Kestra Broker-Discloses Customer Disputes and a Termination-Carlsbad, CA 150 150 ER

Chadwick Collins Investigation May 2022-Carlsbad, CA The FINRA records of Chadwick Collins,  a Kestra Investment Services/Wedbush Securities broker discloses 3 pending customer disputes, 3 prior finalized customer disputes and a termination from employment.…

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  • ER

Lyle Davis -Former Wilson-Davis Broker-Suspended by FINRA-Salt Lake City, UT
Lyle Davis -Former Wilson-Davis Broker-Suspended by FINRA-Salt Lake City, UT 150 150 ER

Lyle Davis Investigation May  2022 – Salt Lake City, UT According to publicly attained records, Lyle W. Davis, a stockbroker who is not currently registered  and who was last employed…

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  • ER

Juan Ceja- Former PFS Investments Broker- Permanently Barred from FINRA- Medford, OR
Juan Ceja- Former PFS Investments Broker- Permanently Barred from FINRA- Medford, OR 150 150 ER

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…

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  • ER

Tyler Rigsbee- Former Wells Fargo Broker- Permanently Barred from FINRA- Sacramento, CA
Tyler Rigsbee- Former Wells Fargo Broker- Permanently Barred from FINRA- Sacramento, CA 150 150 ER

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…

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  • Robert Rex, Esq.

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 150 150 Robert Rex, Esq.

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…

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