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Joseph Ambrosole- Former Joseph Stone Capital Advisor- Discloses Regulatory Events, Customer Suits and an IRS Lien – New York, NY
Joseph Ambrosole- Former Joseph Stone Capital Advisor- Discloses Regulatory Events, Customer Suits and an IRS Lien – New York, NY 150 150 ER

Joseph Ambrosole Investigation September 2022- New York, NY According to publicly available records,  Joseph Ambrosole a former FINRA registered representative who last worked for Joseph Stone Capital, discloses 5 prior…

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North Carolina Securities Regulators Latest Enforcement News September 2022
North Carolina Securities Regulators Latest Enforcement News September 2022 150 150 Robert Rex, Esq.

Securities Enforcement Actions  Securities Division- North Carolina Secretary of State   Raleigh, North Carolina-September 11, 2022 Founders of Fake “Hedge Fund” Plead Guilty to $4 Million Ponzi Scheme– Charlotte, N.…

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  • Robert Rex, Esq.

Sean Sullivan – Former Aegis Capital Broker- Fired for Allegations of Unauthorized Trading -Melville, NY
Sean Sullivan – Former Aegis Capital Broker- Fired for Allegations of Unauthorized Trading -Melville, NY 150 150 Robert Rex, Esq.

Sean Sullivan  Investigation September 2022- Melville, NY According to publicly available records,  Sean T. Sullivan,  a former Aegis Capital broker discloses  customer disputes and a termination from employment. The Financial Industry…

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David W. Lentz-Former Kestra Broker-Has Customer Suit Seeking $2M- Alleges Churning – Kernersville, NC
David W. Lentz-Former Kestra Broker-Has Customer Suit Seeking $2M- Alleges Churning – Kernersville, NC 150 150 Robert Rex, Esq.

David Lentz Investigation August 2022-Kernersville, North Carolina The FINRA records of David W. Lentz,  a  former Kestra Investment Services broker and owner of Thorium Wealth Management disclose a pending customer dispute seeking millions in damages. The Financial Industry…

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Harold Bin Cho- Merrill Lynch Broker- Discloses $1.8M Customer Settlement- Short Hills, NJ
Harold Bin Cho- Merrill Lynch Broker- Discloses $1.8M Customer Settlement- Short Hills, NJ 150 150 ER

Harold Bin Cho Investigation August, 2022 – Short Hills, NJ The FINRA records of Harold Bin Cho a  broker currently employed by Merrill Lynch, Pierce, Fenner & Smith, disclose a prior customer…

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Shadi Barakat- Spartan Capital Broker-Discloses Customer Suits-NYC
Shadi Barakat- Spartan Capital Broker-Discloses Customer Suits-NYC 150 150 Robert Rex, Esq.

Shadi Barakat Investigation August 2022 -New York The FINRA records of  Shadi Taysir Barakat,  a  stock broker who is currently employed by Spartan Capital Securities disclose 3 regulatory events,  a currently pending customer dispute, 3…

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J.P. Morgan Fined by Regulator for Abusing Grandmother’s Account
J.P. Morgan Fined by Regulator for Abusing Grandmother’s Account 150 150 Robert Rex, Esq.

J.P. Morgan Investigation August 2022 FINRA recently fined J.P. Morgan $200,000 for failing to supervise one of their brokers who severely mismanaged and abused the account of a 90 year…

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Jason Tarver- Merrill Lynch Broker- Discloses $2 Million Settlement With Customer- Frisco, TX
Jason Tarver- Merrill Lynch Broker- Discloses $2 Million Settlement With Customer- Frisco, TX 150 150 ER

Jason Tarver Investigation May, 2022 – Frisco, TX The FINRA records of Jason Tarver a  broker currently employed by Merrill Lynch, Pierce, Fenner & Smith, disclose recent settlement of a customer dispute. The…

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Rex Securities Law Investment Fraud Attorney Investigates LPL Financial Broker Bill Poulter
Rex Securities Law Investment Fraud Attorney Investigates LPL Financial Broker Bill Poulter 150 150 ER

Last Updated: October 2023 (Baton Rouge, LA) Bill Poulter Investigation Summary Here’s what you need to know about Baton Rouge, LA, stockbroker Bill Poulter: Name: Mr. William John Poulter Current…

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Walter Hall-Former Coastal Equities Broker-Discloses 2 Terminations From Employment-Memphis, TN
Walter Hall-Former Coastal Equities Broker-Discloses 2 Terminations From Employment-Memphis, TN 150 150 ER

Walter S. Hall Investigation May 2022-Memphis, TN The FINRA records of Walter Scott Hall,  an unregistered broker, last employed with Coastal Equities, discloses 2 terminations from employment. The Financial Industry Regulatory…

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