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Scott Fergang- Former RBC Capital Markets Broker- Discloses Regulatory Event, Customer Dispute and a Termination- Hackensack, NJ
Scott Fergang- Former RBC Capital Markets Broker- Discloses Regulatory Event, Customer Dispute and a Termination- Hackensack, NJ 150 150 ER

July 2021- Hackensack , NJ According to publicly available records,  Scott Fergang,  a financial advisor who previously was employed by RBC Capital and who now works for Stifel, Nicolaus , discloses…

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  • Robert Rex, Esq.

William G. Mason- Stifel Nicolaus Broker-Discloses Pending Customer Dispute -New Orleans, LA
William G. Mason- Stifel Nicolaus Broker-Discloses Pending Customer Dispute -New Orleans, LA 150 150 Robert Rex, Esq.

November 2020- New Orleans, LA According to publicly available records, a  Stifel, Nicolaus & Company broker William Geary Mason  discloses a pending customer dispute and a termination. The Financial Industry…

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  • Robert Rex, Esq.

Mitchell Yanow-Former Stifel Nicolaus Broker-Discharged Over Allegations He Used Customer Funds to Purchase Corvette-Boca Raton, FL
Mitchell Yanow-Former Stifel Nicolaus Broker-Discharged Over Allegations He Used Customer Funds to Purchase Corvette-Boca Raton, FL 150 150 Robert Rex, Esq.

April 2019- Boca Raton, FL The FINRA records of Mitchell Toby Yanow  , a former stock broker disclose  that he was recently barred from the securities industry by FINRA, discharged by Stifel,…

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  • Robert Rex, Esq.

Stifel Nicolaus Ordered to Pay Elderly Couple For Puerto Rico Bond Losses
Stifel Nicolaus Ordered to Pay Elderly Couple For Puerto Rico Bond Losses 150 150 Robert Rex, Esq.

Over the past few years St. Louis based Stifel Nicolaus & Co. has faced a number of problem with regulators as well as actions filed by disgruntled customers, including: In…

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  • Robert Rex, Esq.

Bruce R. Clark-Wells Fargo Broker-Disciplined by Texas Regulator-Longview, TX
Bruce R. Clark-Wells Fargo Broker-Disciplined by Texas Regulator-Longview, TX 150 150 Robert Rex, Esq.

December 2016- Longview, Texas The Texas State Securities Board (TSSB) sanctioned  Bruce Russell Clark (CRD# 2848753) of Longview, Texas,  reprimanding him and assessing an administrative fine of $5,000. According to the TSSB…

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  • Robert Rex, Esq.

Michael Delao-Former Century Securities Broker-Sanctioned by Texas Securities Regulators
Michael Delao-Former Century Securities Broker-Sanctioned by Texas Securities Regulators 150 150 Robert Rex, Esq.

December 2016-Georgetown, Texas The FINRA records of  Michael Ramon Delao,  a  stockbroker with St. Bernard Financial Services , disclose a recently regulatory event , a prior customer dispute and 2 terminations. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Donald L. Watson-Former Jeffrey Matthews Broker- Discloses Discharge from Employment
Donald L. Watson-Former Jeffrey Matthews Broker- Discloses Discharge from Employment 150 150 Robert Rex, Esq.

UPDATE April 2018– IN 3/2017 FINRA permanently barred Donald Lee Watson, Jr. from the securities industry for refusing to cooperate with a FINRA investigation. November 2016-Sarasota, FL The FINRA records of  Donald…

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  • Robert Rex, Esq.

Robert Kyle Ratcliff-Stifel,Nicolaus Broker-Discloses Customer Arbitration-Denton, TX
Robert Kyle Ratcliff-Stifel,Nicolaus Broker-Discloses Customer Arbitration-Denton, TX 150 150 Robert Rex, Esq.

Denton, Texas UPDATE JULY 2017–FINRA records disclose that arbitration 15-3427, discussed below, was settled 2/2017 for $117,477.  August  2016-ORIGINAL POST   The FINRA records of Robert Kyle Ratcliff ,  a  stock broker who is currently employed…

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  • Robert Rex, Esq.

Senator Elizabeth Warren Criticizes Wall Street For Inadequately Policing Stock Brokers
Senator Elizabeth Warren Criticizes Wall Street For Inadequately Policing Stock Brokers 150 150 Robert Rex, Esq.

March 3, 2016-Washington, DC The Investment News reported that Massachusetts Senator Elizabeth Warren raised doubts during a Senate banking subcommittee hearing about whether FINRA can adequately police itself. Wa During…

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  • Robert Rex, Esq.

Former Wells Fargo Advisor Broker Sanctioned for Unauthorized Trading in Customer Account
Former Wells Fargo Advisor Broker Sanctioned for Unauthorized Trading in Customer Account 150 150 Robert Rex, Esq.

June 22, 2015 Tyler Powell  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he  exercised discretion in a…

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