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Woodbury Financial Services- Discloses 22 Regulatory Issues/ Fines
Woodbury Financial Services- Discloses 22 Regulatory Issues/ Fines 150 150 ER

Woodbury Financial  Services Investigation WOODBURY FINANCIAL ACQUIRED BY OSAIC FINANCIAL – SEE LINK August 2024 The FINRA records of Woodbury Financial Services,   disclose 22  final regulatory events, 8 prior customer disputes,…

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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.

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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Scott Bremus- Former LPL Broker- Discloses Customer Suit and Termination of Employment- Dacula, GA
Scott Bremus- Former LPL Broker- Discloses Customer Suit and Termination of Employment- Dacula, GA 150 150 ER

Scott Bremus Investigation April 2024- Dacula, GA According to publicly available records Scott Bremus,  a broker previously registered with LPL Financial discloses 2 regulatory events, 2 final customer disputes and…

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Robert Alvarez- International Assets Advisory Management Broker- Discloses Regulatory Event, Customer Disputes and Terminations From Employment – Metairie, LA
Robert Alvarez- International Assets Advisory Management Broker- Discloses Regulatory Event, Customer Disputes and Terminations From Employment – Metairie, LA 150 150 ER

Robert Alvarez Investigaton April 2024- Metairie, LA According to publicly available records,  Robert Alvarez,  a broker with International Assets Investment Management discloses a regulatory event , a currently pending customer dispute,…

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Joseph “Joey” Cason- Former First Allied Securities Broker- Discloses 2 Pending Customer Disputes- Brunswick, GA
Joseph “Joey” Cason- Former First Allied Securities Broker- Discloses 2 Pending Customer Disputes- Brunswick, GA 150 150 ER

Joseph “Joey” Cason Investigation April, 2024 – Brunswick, GA The FINRA records of Joseph “Joey” M. Cason, a  broker currently employed by Triad Advisors, who was previously employed by First Allied Securities, Inc. disclose…

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  • Robert Rex, Esq.

James T. Flynn-Former VOYA Broker-More Than $19 Million Paid Out to Disgruntled Former Clients-Greenville, SC
James T. Flynn-Former VOYA Broker-More Than $19 Million Paid Out to Disgruntled Former Clients-Greenville, SC 150 150 Robert Rex, Esq.

James Travis Flynn Investigation April 2024-Greer , SC/ Greenville, SC Over the past 5 years we have  successfully obtained significant damages for several dozen former customers of  James Travis Flynn,…

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Rex Securities Law Investment Fraud Attorney Investigates Philip Riposo formerly with United Planners & LPL Financial
Rex Securities Law Investment Fraud Attorney Investigates Philip Riposo formerly with United Planners & LPL Financial 150 150 ER

Last Updated:March 2024 (Cave Creek, AZ) Philip Riposo Investigation Summary Here’s what you need to know about Cave Creek, AZ, stockbroker Philip Riposo: Name: Mr. Philip Anthony Riposo Current Employer:…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Morgan Stanley Broker Darryl Cohen
Rex Securities Law Investment Fraud Attorney Investigates Morgan Stanley Broker Darryl Cohen 150 150 Robert Rex, Esq.

Darryl Cohen-Misappropriation From NBA Player Accounts    April 2023-Westlake Village, C A The FINRA records of Darryl Cohen,  a former stock broker who was last employed in the industry by Morgan Stanley…

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