Stockbroker Malpractice

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Dennis “Denny” Haywood- Former Crown Capital Broker-Discloses 10 Prior Customer Disputes & Pending Customer Disputes- Land O’Lakes, FL
Dennis “Denny” Haywood- Former Crown Capital Broker-Discloses 10 Prior Customer Disputes & Pending Customer Disputes- Land O’Lakes, FL 150 150 ER

Denny Haywood Investigation September 2024- Land O’ Lakes, FL The FINRA records of  Dennis “Denny” Haywood , a stockbroker previously with  Crown Capital Securities, Inc. broker discloses a 10 prior customer…

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Angelo Anello – LPL Financial Broker- Discloses Customer Disputes Over Structured Products-Needham, MA
Angelo Anello – LPL Financial Broker- Discloses Customer Disputes Over Structured Products-Needham, MA 150 150 ER

Angelo Anello Investigation June 2024 – Needham, MA According to publicly available records  Angelo Anello ,  a broker with LPL Financial discloses 3 prior customer disputes and one pending customer dispute.…

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  • Robert Rex, Esq.

Mark Augusta- Hilltop Securities Broker- 21 Customer Disputes, 2 Pending Customer Disputes and a Termination from Employment – Del Mar, CA
Mark Augusta- Hilltop Securities Broker- 21 Customer Disputes, 2 Pending Customer Disputes and a Termination from Employment – Del Mar, CA 150 150 Robert Rex, Esq.

June 2024 – Del Mar, CA According to publicly available records Mark Fred Augusta  (CRD#1333913) ,  a  stockbroker who is currently registered with Hilltop Securities, Inc.,  disclose  21 prior customer disputes, 2 pending customer…

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  • Robert Rex, Esq.

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: May 2024 (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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David Shane Simmons-Former Lincoln Financial Securities Broker-Convicted in Tax Shelter Scheme – Jefferson, NC
David Shane Simmons-Former Lincoln Financial Securities Broker-Convicted in Tax Shelter Scheme – Jefferson, NC 150 150 ER

David Shane Simmons Investigation April 2024-Jefferson, NC UPDATE: On April 25, 2024 the U.S. Department of Justice convicted two tax attorneys and former broker David Shane Simmons of conspiring to…

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  • Robert Rex, Esq.

Sean Brady-Former First Allied Securities Broker-Millions in Settlements Paid to Former Customers-St. Louis, MO
Sean Brady-Former First Allied Securities Broker-Millions in Settlements Paid to Former Customers-St. Louis, MO 150 150 Robert Rex, Esq.

April 2024- St. Louis, MO The FINRA records of  Sean Aaron Brady ,  a  former stock broker who is not currently registered and who was last employed by First Allied Securities ,  disclose  that he was…

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Mark Williams-Former Centaurus Financial Broker- Settlement of Customer Disputes- Carmel, CA
Mark Williams-Former Centaurus Financial Broker- Settlement of Customer Disputes- Carmel, CA 150 150 ER

Mark Williams Investigation April 2024-Carmel by the Sea, CA According to publicly available records Mark John Williams ,  a former Centaurus Financial Inc., broker who now works for Kingswood Capital…

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Andrew Keefer- IFP Securities Broker- Has $500K Pending Customer Dispute Involving GWG Bonds-Orlando, FL
Andrew Keefer- IFP Securities Broker- Has $500K Pending Customer Dispute Involving GWG Bonds-Orlando, FL 150 150 ER

Andrew Keefer Investigation Updated April 2024 Orlando, FL According to publicly available records  Andrew J. Keefer ,  a broker with Independent Financial Partners/IFP Securities,  discloses a $500,000 customer dispute. The Financial Industry…

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Bob Boschke- Former CFD Investments Broker-Discloses 3 Terminations From Employment-St. Germain, WI
Bob Boschke- Former CFD Investments Broker-Discloses 3 Terminations From Employment-St. Germain, WI 150 150 ER

Bob Boschke Investigation April 2024- St. Germain, WI The FINRA records of  Robert “Bob” Boschke,   a  stockbroker previously employed by  CFD Investments, Inc.  and LPL Financial disclose  two regulatory actions and 3…

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