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Rex Securities Law Investment Fraud Attorney Investigates Felipe Henao Vargas formerly with Insigneo Securities
Rex Securities Law Investment Fraud Attorney Investigates Felipe Henao Vargas formerly with Insigneo Securities 150 150 ER

Last Updated: January 2024 (Miami, Florida) Felipe Henao Vargas Investigation Summary Here’s what you need to know about Miami, FL, stockbroker Felipe Henao Vargas: Name: Mr. Felipe Henao Vargas Current…

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Michael Fahsholtz- Former Stifel, Nicolaus Broker- Discloses 9 Final Customer Disputes – Wenatchee, WA
Michael Fahsholtz- Former Stifel, Nicolaus Broker- Discloses 9 Final Customer Disputes – Wenatchee, WA 150 150 ER

Michael Fahsholtz Investigation February 2022- Wenatchee, WA According to publicly available records,  Michael A. Fahsholtz , an unregistered broker who was previously with Stifel, Nicolaus & Company,  discloses 9 final customer…

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Ignacio Erhart Del Campo- Former Insigneo Securities Broker- Sanctioned for Making Trades in Deceased Customer’s Account – Montevideo, Uruguay
Ignacio Erhart Del Campo- Former Insigneo Securities Broker- Sanctioned for Making Trades in Deceased Customer’s Account – Montevideo, Uruguay 150 150 ER

Ignacio Erhart Del Campo Investigation March 2022- Montevideo, Uruguay The FINRA records of Ignacio Erhart Del Campo  , a former stockbroker who was last employed by Insigneo Securities. , discloses 2 regulatory events and a…

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Vince Mastrovito-Former J.W. Cole Financial Broker Discloses 2 Pending Customer Disputes and a Termination- Charlevoix, MI
Vince Mastrovito-Former J.W. Cole Financial Broker Discloses 2 Pending Customer Disputes and a Termination- Charlevoix, MI 150 150 ER

Vince Mastrovito Investigation March 2022- Charlevoix, MI The FINRA records of Vince Mastrovito, a broker who formerly worked for J.W. Cole Financial, Inc. and Cambridge Investment Research disclose 2 pending customer…

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Chuck Cox-Raymond James Broker-Discloses Prior Customer Dispute and Customer Dispute -Federal Way, WA
Chuck Cox-Raymond James Broker-Discloses Prior Customer Dispute and Customer Dispute -Federal Way, WA 150 150 ER

Charles (Chuck) Arthur Cox Investigation March 2022- Federal Way, WA According to publicly available records  Chuck Cox , a stockbroker registered with Raymond James Financial Services Advisors, Inc. discloses a…

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Kurt Stein-Quint Capital Broker-Discloses Customer Dispute and 1 Pending Customer Disputes -New York, NY
Kurt Stein-Quint Capital Broker-Discloses Customer Dispute and 1 Pending Customer Disputes -New York, NY 150 150 ER

Kurt Stein Investigation March 2022- New York, NY The FINRA records of Kurt Anthony Stein,  a Quint Capital Corporation broker,  discloses 2 prior customer disputes and 1 pending customer dispute. The Financial…

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Joseph Giordano and Roberto Birardi- Aegis Capital Brokers- Suspended by Regulator over Millions in Excess Trading Costs-Melville, NY
Joseph Giordano and Roberto Birardi- Aegis Capital Brokers- Suspended by Regulator over Millions in Excess Trading Costs-Melville, NY 150 150 ER

Joseph M. Giordano and Roberto Birardi / Aegis Capital  Investigation March 2022-Greenwood, SC According to publicly available records Joseph M. Giordano and Robert Birardi,  stockbrokers who are currently employed by…

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Jan E. Haynes-Former Integrity Brokerage Services Broker-Discloses Customer Disputes and Regulatory Suspension-LaJolla, CA
Jan E. Haynes-Former Integrity Brokerage Services Broker-Discloses Customer Disputes and Regulatory Suspension-LaJolla, CA 150 150 ER

Jan E. Haynes Investigation March  2022- La Jolla, CA The FINRA records of  Jan Earl Haynes,  a  stock broker who is currently suspended by FINRA and who was last employed by Centaurus Financial,…

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William “Frank” Richardson Investigation -Former Investacorp Financial Advisor-Subject of Customer Complaints-Houston, TX
William “Frank” Richardson Investigation -Former Investacorp Financial Advisor-Subject of Customer Complaints-Houston, TX 150 150 ER

William Frank Richardson Investigation   September 2022-Houston, TX The FINRA records of  William “Frank” Richardson, Jr. ,  a stock broker with Avantax Investment Services,  disclose 6 prior customer disputes. The Financial…

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James Dunn, Jr. -Former Ameriprise Financial Broker-Discloses $3.6M+ in Settle Disputes- Vienna, VA
James Dunn, Jr. -Former Ameriprise Financial Broker-Discloses $3.6M+ in Settle Disputes- Vienna, VA 150 150 ER

James William Dunn, Jr. Investigation March 2022- Vienna, VA The FINRA records of James William Dunn, Jr,  a currently unregistered broker who was last employed by Ameriprise Financial Services,  disclose  19 prior…

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