Stockbroker Discharged Archives

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June 13, 2023

Clinton Byrd-Former Cantella Broker-Discloses Regulatory Suspension, $450K Settlement With Customer- Tallahassee, FL

Clinton Byrd-Former Cantella Broker-Discloses Regulatory Suspension, $450K Settlement With Customer- Tallahassee, FL https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g June 13, 2023 October 4, 2023

Clinton Byrd Investigation June 2023-Tallahassee, FL According to publicly available records Clinton Byrd, a broker previous employed by Cantella & Co., discloses a regulatory suspension, settlement of a customer dispute…

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June 13, 2023

Vincent “Vinny” Grucci-Former Fortune Financial Services Broker-Discloses FINRA Investigation and Final Customer Dispute- Ocean Ridge, FL

Vincent “Vinny” Grucci-Former Fortune Financial Services Broker-Discloses FINRA Investigation and Final Customer Dispute- Ocean Ridge, FL https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g June 13, 2023 October 2, 2023

Vincent “Vinny” Grucci Investigation June 2023-Ocean Ridge, FL The FINRA records of Vinny Grucci, a former stock broker who was last employed by Fortune Financial Services, Inc. disclose a pending FINRA…

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June 13, 2023

Alexandra Smith-Former J.P. Morgan Broker-Barred From Securities Industry by Regulator -St. Petersburg, FL

Alexandra Smith-Former J.P. Morgan Broker-Barred From Securities Industry by Regulator -St. Petersburg, FL https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g June 13, 2023 October 3, 2023

Alexandra Smith Investigation June 2023-St. Petersburg, FL The FINRA records of Alexandra Smith , a former stock broker who was last employed in the industry by J.P. Morgan Securities , disclose 2…

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May 3, 2023

Kenneth Byrne- Former Janney Montgomery Scott Broker-Barred From Securities Industry by Regulators -Garden City, NY

Kenneth Byrne- Former Janney Montgomery Scott Broker-Barred From Securities Industry by Regulators -Garden City, NY https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g May 3, 2023 October 4, 2023

Kenneth Byrne Investigation May 2023-Garden City, NY According to publicly available records Kenneth Byrne a former broker who last worked for Janney Montgomery Scott, discloses a final regulatory matter resulting in…

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April 26, 2023

Marianne O’Shee Smith- Former Cetera Advisors Broker-Barred From Securities Industry by Regulators -Avon, CT

Marianne O’Shee Smith- Former Cetera Advisors Broker-Barred From Securities Industry by Regulators -Avon, CT https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g April 26, 2023 October 3, 2023

Marianne O’Shee Smith Investigation April 2023-Avon,CT According to publicly available records Marianne O’Shee Smith a former broker who last worked for Cetera Advisors, discloses a final regulatory matter resulting in a…

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April 18, 2023

Suzanne Charrin- Former Woodbury Financial Services Broker-Barred From Securities Industry by Regulators -Greenwood, CO

Suzanne Charrin- Former Woodbury Financial Services Broker-Barred From Securities Industry by Regulators -Greenwood, CO https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g April 18, 2023 October 4, 2023

Suzanne Charrin Investigation April 2023-Greenwood, CO According to publicly available records Suzanne Charrin, a former broker who last worked for Woodbury Financial Services, discloses a final regulatory matter resulting in a…

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April 18, 2023

Rex Securities Law Investment Fraud Attorney Investigates John N. Matson formerly with LPL Financial

Rex Securities Law Investment Fraud Attorney Investigates John N. Matson formerly with LPL Financial https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g April 18, 2023 September 12, 2023

Last Updated: September 2023 (Manhattan Beach, CA ) John N. Matson Investigation Summary Here’s what you need to know about Manhattan Beach, CA , stockbroker John Matson: Name: Mr. John…

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April 3, 2023

Nickolay Kukukov-Former Paulson Investment Broker-Discloses Regulatory Suspension and Termination From Employment- New York, NY

Nickolay Kukukov-Former Paulson Investment Broker-Discloses Regulatory Suspension and Termination From Employment- New York, NY https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g April 3, 2023 October 3, 2023

Nickolay Kukukov Investigation April 2023-New York NY According to publicly available records Nickolay Kukukov , a former broker who last worked for Paulson Investment Company, discloses a final regulatory matter a…

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March 27, 2023

Janie Garza-Clark-Former TCFG Wealth Management Broker-Barred From Securities Industry by Regulators – Scottsdale, AZ

Janie Garza-Clark-Former TCFG Wealth Management Broker-Barred From Securities Industry by Regulators – Scottsdale, AZ https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g March 27, 2023 October 3, 2023

Janie Garza-Clark Investigation March 2023-Scottsdale, AZ According to publicly available records Janie Garza-Clark , a former broker who last worked for TCFG Wealth Management, discloses a final regulatory matter resulting in…