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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.

Charles Kulch Investigation-NEXT FInancial/Investors Capital Broker-Nashua, NH
Charles Kulch Investigation-NEXT FInancial/Investors Capital Broker-Nashua, NH 150 150 Robert Rex, Esq.

  See this for March 2024 Update on former NEXT Financial Group Broker Charles Kulch   April 1, 2016- Nashua, New Hampshire FINRA records report that NEXT Financial Group stockbroker Charles…

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