Securities America

  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Jeff Conforti a broker with Securities America
Rex Securities Law Investment Fraud Attorney Investigates Jeff Conforti a broker with Securities America 150 150 Robert Rex, Esq.

Last Updated: April 2024 (Campbell, CA) Jeff Conforti Investigation Summary Here’s what you need to know about Campbell, CA, stockbroker Jeff Conforti Name: Mr. Jeff Alan Conforti Current Employer: Securities…

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Kimberley Nuessmann – Former Securities America Advisor Discloses a Regulatory Event-Redwood City, CA
Kimberley Nuessmann – Former Securities America Advisor Discloses a Regulatory Event-Redwood City, CA 150 150 ER

Kimberly Nuessmann Investigation February 2024 -Redwood City, CA Kimberly Nuessmann, an unregistered stockbroker who was previously registered with Securities America, Inc.  discloses a regulatory event on her FINRA record. The…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Securities America Broker Alan “Roof” Douglass
Rex Securities Law Investment Fraud Attorney Investigates Securities America Broker Alan “Roof” Douglass 150 150 Robert Rex, Esq.

Last Updated: January 2024 (Clearwater, FL) Alan “Roof” Douglass Investigation Summary Here’s what you need to know about Clearwater, FL, stockbroker Roof Douglass: Name: Mr. Alan Duane Douglass Current Employer:…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Securities America Broker John Donovan
Rex Securities Law Investment Fraud Attorney Investigates Securities America Broker John Donovan 150 150 Robert Rex, Esq.

Last Updated: October 2023 (Plano, Texas) John Donovan Investigation Summary Here’s what you need to know about Plano, TX, stockbroker John Donovan: Name: Mr. John Francis Donovan Current Employer: Securities…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Securies America Broker Mindy L. Kirby
Rex Securities Law Investment Fraud Attorney Investigates Securies America Broker Mindy L. Kirby 150 150 Robert Rex, Esq.

Last Updated: September 2023 (Rowlett, TX) Mindy Kirby Investigation Summary Here’s what you need to know about Rowlett, Texas stockbroker Mindy L. Kirby: Name: Ms. Mindy L. Kirby Current Employer:…

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Curt Wilson- Former Securities America/ChangePath LLC Broker-Discloses $250K Settlement of Customer Dispute Involving Option Trading- Tulsa, OK
Curt Wilson- Former Securities America/ChangePath LLC Broker-Discloses $250K Settlement of Customer Dispute Involving Option Trading- Tulsa, OK 150 150 ER

Curt Wilson Investigation July 2023- Tulsa, OK The FINRA records of  Curtis “Curt” Wilson,   a currently unregistered broker who was previously employed with  Securities America , disclose settlement of customer disputes. The…

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  • Robert Rex, Esq.

Annetta Box- Former Cambridge Investment Broker-Fails to Cooperate With Regulators-Barred From Securities Industry-Dallas, TX
Annetta Box- Former Cambridge Investment Broker-Fails to Cooperate With Regulators-Barred From Securities Industry-Dallas, TX 150 150 Robert Rex, Esq.

Annetta Marie Box Investigation August 2022- Dallas, TX  The FINRA records of  Annetta Marie Box ,  a former broker with Cambridge Investment Research Advisors,  disclose a recent bar from the securities…

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William “Frank” Richardson Investigation -Former Investacorp Financial Advisor-Subject of Customer Complaints-Houston, TX
William “Frank” Richardson Investigation -Former Investacorp Financial Advisor-Subject of Customer Complaints-Houston, TX 150 150 ER

William Frank Richardson Investigation   September 2022-Houston, TX The FINRA records of  William “Frank” Richardson, Jr. ,  a stock broker with Avantax Investment Services,  disclose 6 prior customer disputes. The Financial…

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Dale Ramsperger – Former Securities America Broker- Discloses Regulatory Event and a Termination- Scottsdale, AZ
Dale Ramsperger – Former Securities America Broker- Discloses Regulatory Event and a Termination- Scottsdale, AZ 150 150 ER

Dale A. Ramsperger Investigation October 2021- Scottsdale, AZ According to publicly available records Dale Ramsperger,  a broker who last worked for  DMK Advisor Group and prior to that Securities America, …

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