Unauthorized Trading

  • ER

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…

read more
  • ER

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…

read more
  • ER

Ryan Gonazles-Former J.P. Morgan Broker-Discloses Termination of Employment-Westminster, CO
Ryan Gonazles-Former J.P. Morgan Broker-Discloses Termination of Employment-Westminster, CO 150 150 ER

Ryan Gonzales Investigation May 2022-Westminster, CO The FINRA records of Ryan Gonzales,  a broker who was previously with JP Morgan Securities discloses a termination from employment. The Financial Industry Regulatory Authority (FINRA)…

read more
  • ER

Derek Johnson- Former J.P. Morgan Broker- Discloses Pending $3M Customer Dispute -Brea, CA
Derek Johnson- Former J.P. Morgan Broker- Discloses Pending $3M Customer Dispute -Brea, CA 150 150 ER

Derek Johnson Investigation May 2022-Brea, CA According to publicly available records, Derek Michael Johnson, a former J.P. Morgan  broker discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is…

read more
  • ER

John LoPinto -Former Worden Capital Management Broker- Sanctioned for Excessive Trading- New York, NY
John LoPinto -Former Worden Capital Management Broker- Sanctioned for Excessive Trading- New York, NY 150 150 ER

John LoPinto Investigation May 2022- New York, NY The FINRA records of John LoPinto,  a currently unregistered broker who was last employed by Worden Capital Management,  disclose  2 regulatory events and 3…

read more
  • ER

Todd Sivak- LPL Financial Broker- Discloses Pending Customer Dispute -Oconomowoc, WI
Todd Sivak- LPL Financial Broker- Discloses Pending Customer Dispute -Oconomowoc, WI 150 150 ER

Todd Sivak Investigation May 2022- Oconomowoc, WI According to publicly available records, Todd W. Sivak, an LPL Financial broker discloses pending customer dispute filed during his employment with MML Investors…

read more
  • ER

Antoine Souma- Insigneo Securities Broker- Discloses $14M Settlement-Beverly Hills, CA
Antoine Souma- Insigneo Securities Broker- Discloses $14M Settlement-Beverly Hills, CA 150 150 ER

Antoine Souma Investigation May  2022-Beverly Hills, CA According to publicly available records Antoine Nabih Souma, a broker with Insigneo Advisory Services discloses a regulatory event, a prior customer dispute and a…

read more
  • ER

Chadwick Collins-Former Kestra Broker-Discloses Customer Disputes and a Termination-Carlsbad, CA
Chadwick Collins-Former Kestra Broker-Discloses Customer Disputes and a Termination-Carlsbad, CA 150 150 ER

Chadwick Collins Investigation May 2022-Carlsbad, CA The FINRA records of Chadwick Collins,  a Kestra Investment Services/Wedbush Securities broker discloses 3 pending customer disputes, 3 prior finalized customer disputes and a termination from employment.…

read more
Enter your
text here
Verified by MonsterInsights