Unsuitable Investments Archives

ER
May 4, 2022

William Athas-Former Worden Capital Broker-Barred From Securities Industry by Regulator For Excessive Trading-Melville, NY

William Athas-Former Worden Capital Broker-Barred From Securities Industry by Regulator For Excessive Trading-Melville, NY https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/2d44fc1bb37bf9f3e58c25efde680e115458389810b3021a82de67eab0575506?s=96&d=mm&r=g May 4, 2022 October 5, 2023

William Athas Investigation May 2022-Melville, New York The FINRA records of William N. Athas, a former stock broker who was last employed in the industry by SW Financial , disclose a regulatory…

ER
May 4, 2022

Elizabeth Layne-Morgan Stanley Broker-Customer Alleges $15M+ In Damages Over Option Trading -Atlanta, GA

Elizabeth Layne-Morgan Stanley Broker-Customer Alleges $15M+ In Damages Over Option Trading -Atlanta, GA https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/2d44fc1bb37bf9f3e58c25efde680e115458389810b3021a82de67eab0575506?s=96&d=mm&r=g May 4, 2022 October 4, 2023

Elizabeth Layne Investigation May 2022- Atlanta, GA According to publicly available records Elizabeth M. Layne (aka Elizabeth Muse Hearn & Elizabeth Anne Muse) a broker with Morgan Stanley Smith Barney discloses a large…

ER
May 4, 2022

Dwayne “Matt” Bullen -Former Worden Capital Broker-Subject of $1.27M + Customer Suit -Mineola, NY

Dwayne “Matt” Bullen -Former Worden Capital Broker-Subject of $1.27M + Customer Suit -Mineola, NY https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/2d44fc1bb37bf9f3e58c25efde680e115458389810b3021a82de67eab0575506?s=96&d=mm&r=g May 4, 2022 September 29, 2023

Dwayne “Matt” Bullen Investigation May 2022-Mineola, NY The FINRA records of Dwayne J. Bullen , a stockbroker who was previously registered with Worden Capital Management, disclose a pending customer dispute. The…

ER
May 4, 2022

Dennis Riordan- Wynston Hill Capital Broker- Discloses Regulatory Suspension and Customer Suits-Bronx, NY

Dennis Riordan- Wynston Hill Capital Broker- Discloses Regulatory Suspension and Customer Suits-Bronx, NY https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/2d44fc1bb37bf9f3e58c25efde680e115458389810b3021a82de67eab0575506?s=96&d=mm&r=g May 4, 2022 October 5, 2023

Dennis Riordan Investigation May 2022- Greenwich, CN According to publicly available records, Dennis Riordan, a Wynston Hill Capital broker in Bronx, NY , discloses 3 regulatory events and 3 final customer complaints.…

ER
May 4, 2022

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

Todd Sivak- LPL Financial Broker- Discloses Pending Customer Dispute -Oconomowoc, WI https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/2d44fc1bb37bf9f3e58c25efde680e115458389810b3021a82de67eab0575506?s=96&d=mm&r=g May 4, 2022 October 3, 2023

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…

ER
May 4, 2022

Jason Garofalo- Ameriprise Broker- Discloses One Final and Pending & Prior Customer Disputes -Las Vegas, NV

Jason Garofalo- Ameriprise Broker- Discloses One Final and Pending & Prior Customer Disputes -Las Vegas, NV https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/2d44fc1bb37bf9f3e58c25efde680e115458389810b3021a82de67eab0575506?s=96&d=mm&r=g May 4, 2022 October 5, 2023

Jason Garofalo Investigation May 2022- Las Vegas, NV According to publicly available records, Jason L. Garofalo, a broker with Ameriprise Financial in Las Vegas, NV, discloses a customer complaint. The Financial Industry…

ER
May 4, 2022

Dustin Ward- Woodbury Financial Broker- Discloses 2 Pending Customer Suits -St. Louis, MO

Dustin Ward- Woodbury Financial Broker- Discloses 2 Pending Customer Suits -St. Louis, MO https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/2d44fc1bb37bf9f3e58c25efde680e115458389810b3021a82de67eab0575506?s=96&d=mm&r=g May 4, 2022 October 4, 2023

Dustin Ward Investigation May 2022 – St. Louis, MO According to publicly available records, Dustin Ward, a Woodbury Financial broker discloses 2 pending customer disputes. The Financial Industry Regulatory Authority (FINRA)…

ER
May 3, 2022

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 https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/2d44fc1bb37bf9f3e58c25efde680e115458389810b3021a82de67eab0575506?s=96&d=mm&r=g May 3, 2022 October 5, 2023

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.…

ER
May 3, 2022

Lyle Davis -Former Wilson-Davis Broker-Suspended by FINRA-Salt Lake City, UT

Lyle Davis -Former Wilson-Davis Broker-Suspended by FINRA-Salt Lake City, UT https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/2d44fc1bb37bf9f3e58c25efde680e115458389810b3021a82de67eab0575506?s=96&d=mm&r=g May 3, 2022 September 29, 2023

Lyle Davis Investigation May 2022 – Salt Lake City, UT According to publicly attained records, Lyle W. Davis, a stockbroker who is not currently registered and who was last employed…

Robert Rex, Esq.
April 26, 2022

Oscar “Buddy”Jackson III- Former BFT Financial Adviser-Discloses Customer Suit & Termination of Employment- Wichita Falls, TX

Oscar “Buddy”Jackson III- Former BFT Financial Adviser-Discloses Customer Suit & Termination of Employment- Wichita Falls, 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 April 26, 2022 October 4, 2023

Oscar Jackson III Investigation April 2022 – Wichita Falls, Texas According to publicly obtained records, Oscar “Buddy” Jackson III, a former registered investment adviser, who was last employed by Leo Wealth LLC, disclose a prior…

Featured Investigations