Selling Away

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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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Rex Securities Law Investment Fraud Attorney Investigates Jorge A. Sonville formerly with Merrill Lynch
Rex Securities Law Investment Fraud Attorney Investigates Jorge A. Sonville formerly with Merrill Lynch 150 150 ER

Last Updated: September 2023 (Miami, FLA) Jorge Sonville Investigation Summary Here’s what you need to know about Miami, FLA, stockbroker Jorge A. Sonville: Name: Mr. Jorge Antonio Sonville Current Employer:…

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Rex Securities Law Investment Fraud Attorney Investigates Ariel Rivero formerly with Jefferies LLC
Rex Securities Law Investment Fraud Attorney Investigates Ariel Rivero formerly with Jefferies LLC 150 150 Robert Rex, Esq.

Last Updated: October 2023 (Miami, FL) Ariel Rivero Investigation Summary Here’s what you need to know about Miami, FL, stockbroker Ariel Rivero: Name: Mr. Ariel A. Rivero Current Employer: Insigneo…

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Eric Hollifield Investigation-Former LPL Financial Advisor Subject of $1.24 Million Suit-Ducala, GA
Eric Hollifield Investigation-Former LPL Financial Advisor Subject of $1.24 Million Suit-Ducala, GA 150 150 ER

Eric Hollifield Investigation November 2021-Ducala, GA According to FINRA records  Eric S. Hollifield, an unregistered financial advisor previously employed by LPL Financial discloses a multi-million dollar suit by a customer…

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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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  • Robert Rex, Esq.

Jason Poff-Allstate Financial Services-Discloses Customer Complaint & Suspension-Houston, TX
Jason Poff-Allstate Financial Services-Discloses Customer Complaint & Suspension-Houston, TX 150 150 Robert Rex, Esq.

September 2021- Houston, TX According to his FINRA record  Jason H. Poff , a financial advisor employed by Allstate Financial Services  discloses a final regulatory investigation resulting in suspension and…

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John Westbrook – Former Center Street Securities Broker- Discloses Regulatory Event, Customer Dispute and a Termination- Jackson Gap, AL
John Westbrook – Former Center Street Securities Broker- Discloses Regulatory Event, Customer Dispute and a Termination- Jackson Gap, AL 150 150 ER

September 2021- Jackson Gap, AL According to publicly available records John Westbrook,  a currently unregistered broker who previously was employed by Center Street Securities,  discloses a regulatory event, a pending…

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Daniel T. Levine- Former Morgan Stanley Broker- Barred from Industry-Has Customer Suits-Greenwood Village, CO
Daniel T. Levine- Former Morgan Stanley Broker- Barred from Industry-Has Customer Suits-Greenwood Village, CO 150 150 ER

August 2021- Greenwood Village, CO According to publicly available records,  Daniel Todd Levine broker previously employed with Morgan Stanley discloses 3 prior regulatory events, 2 pending customer disputes and 2 terminations from…

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  • Robert Rex, Esq.

Kelvin Ramirez–Pleads Guilty to Wire Fraud-Houston, TX
Kelvin Ramirez–Pleads Guilty to Wire Fraud-Houston, TX 150 150 Robert Rex, Esq.

August 2021 – Houston, Texas According to a press release  from the Department of Justice, Houston resident Kelvin Ramirez, age 25, has pleaded guilty to defrauding investors by promising high rates of…

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