Stockbroker Discharged Archives

Robert Rex, Esq.
June 16, 2018

Jack Maloney III-Former Edward Jones Broker-Subject of Customer Suit Over FireEye Inc.-Morristown/Johnson City, TN

Jack Maloney III-Former Edward Jones Broker-Subject of Customer Suit Over FireEye Inc.-Morristown/Johnson City, TN https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 16, 2018 June 16, 2018

May 2019- Morristown/Johnson City , Tennessee The FINRA records of John J. Maloney III (Jack Maloney) , a stock broker who is employed by Woodbury Financial Services , disclose a pending customer dispute, 4 prior…

Robert Rex, Esq.
June 14, 2018

Herbert Voss, Jr.-Former StockCross Broker-Discloses Numerous Customer Suits & Termination From Employment-Beverly Hills, CA

Herbert Voss, Jr.-Former StockCross Broker-Discloses Numerous Customer Suits & Termination From Employment-Beverly Hills, CA https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 14, 2018 June 14, 2018

June 2018- Beverly Hills, CA The FINRA records of Herbert Voss, Jr. , a former stock broker who was last employed by StockCross Financial Services , disclose a regulatory event, a pending customer dispute, 7…

Robert Rex, Esq.
May 24, 2018

Bradley Tennison-Discharged by Geneos Wealth Mgmt. After Customer Files Complaint-Mesa, AZ

Bradley Tennison-Discharged by Geneos Wealth Mgmt. After Customer Files Complaint-Mesa, AZ https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g May 24, 2018 May 24, 2018

May 2018-Mesa, AZ The FINRA records of Bradley J. Tennison , a stockbroker who is not currently registered and who last was employed by Geneos Wealth Management disclose a pending customer dispute ,…

Robert Rex, Esq.
May 21, 2018

Hector May-Former Securities America Broker-Investigation Over Missing Client Funds-New City, NY

Hector May-Former Securities America Broker-Investigation Over Missing Client Funds-New City, NY https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g May 21, 2018 May 21, 2018

May 2018-New City, New York Local press is reporting that Rockland/Orange County businessman and former Securities America stockbroker Hector May is being investigated by federal prosecutors on allegations of stealing…

Robert Rex, Esq.
May 16, 2018

Charles Lawrence-Former R.F. Lafferty Broker-Barred From Industry For Exploitation of Elderly Customer- Palm Harbor, FL

Charles Lawrence-Former R.F. Lafferty Broker-Barred From Industry For Exploitation of Elderly Customer- Palm Harbor, FL https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g May 16, 2018 May 16, 2018

January 2020 -Palm Harbor, Florida The FINRA records of Charles Joseph Lawrence, a former stockbroker who was last employed by R. F. Lafferty & Co. disclose a final regulatory matter resulting…

Robert Rex, Esq.
May 14, 2018

Sonya Camarco-Former LPL Financial Broker-Charged With Securities Fraud/Theft-Colorado Springs, CO

Sonya Camarco-Former LPL Financial Broker-Charged With Securities Fraud/Theft-Colorado Springs, CO https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g May 14, 2018 April 5, 2024

May 2018-Colorado Springs, CO The FINRA records of Sonya D. Camarco , a former LPL FInancial broker was recently permanently barred from the securities industry by FINRA for failing to respond to…

Robert Rex, Esq.
May 11, 2018

Timothy Walsh-Former Fortune Financial Services Broker-Discloses Settlement of Customer Suit-Fort Worth, TX

Timothy Walsh-Former Fortune Financial Services Broker-Discloses Settlement of Customer Suit-Fort Worth, TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g May 11, 2018 May 11, 2018

September 2019 -Ft. Worth, Texas The FINRA records of Timothy D. Walsh , a broker who is not currently registered with any broker dealer and who was last employed by Fortune Financial…

Robert Rex, Esq.
May 11, 2018

Clyde D. Jones-Titan Securities Broker-Subject of Numerous Viatical Related Customer Complaints-Addison, TX

Clyde D. Jones-Titan Securities Broker-Subject of Numerous Viatical Related Customer Complaints-Addison, TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g May 11, 2018 May 11, 2018

May 2018-Addison, Texas The FINRA records of Clyde D. Jones , a stockbroker who is currently registered with Titan Securities disclose a pending customer dispute, 8 prior final customer disputes and 2…

Robert Rex, Esq.
May 3, 2018

Charlotte Guin-Former J.P. Morgan Securities Broker-Subject of $10M+ Lawsuit-Huffman, Texas

Charlotte Guin-Former J.P. Morgan Securities Broker-Subject of $10M+ Lawsuit-Huffman, Texas https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g May 3, 2018 May 3, 2018

May 2018- Huffman, Texas According to FINRA records, Charlotte A. Guin, a former stockbroker who was last employed by J.P. Morgan Securities , disclose a prior regulatory event a termination from employment…

Robert Rex, Esq.
May 3, 2018

Jason Zwibel-Garden State Securities Broker-Named in $2.6M Customer Suit-Wellington, FL

Jason Zwibel-Garden State Securities Broker-Named in $2.6M Customer Suit-Wellington, FL https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g May 3, 2018 May 3, 2018

See this for January 2020 Update. May 2018 -Wellington, FL According to FINRA records, Jason Eric Zwibel, a stockbroker who is employed by Garden State Securities , disclose a pending dispute…

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