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Todd Phillips -Former Moloney Securities Broker-Suspended by FINRA-Gilbert, AZ
Todd Phillips -Former Moloney Securities Broker-Suspended by FINRA-Gilbert, AZ 150 150 ER

August  2021 – Gilbert, AZ According to publicly attained records, David “Todd” Phillips, a stockbroker who is not currently registered  and who was last employed by Moloney Securities, Co., Inc. ,…

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David Ray Oakes – Prospera Financial Services Broker- Discloses Regulatory Event and a Termination From Employment- Frisco, TX
David Ray Oakes – Prospera Financial Services Broker- Discloses Regulatory Event and a Termination From Employment- Frisco, TX 150 150 ER

August 2021- Frisco, TX According to publicly recorded records, David Ray Oakes,  a financial advisor employed by Prospera Financial Services,  discloses a regulatory event,  and a termination from employment. The…

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  • Robert Rex, Esq.

Joey Gebron- SW Financial Broker- Discloses Settlement of Customer Disputes – New York, NY
Joey Gebron- SW Financial Broker- Discloses Settlement of Customer Disputes – New York, NY 150 150 Robert Rex, Esq.

August 2021, New York, NY According to publicly available records Joseph Omar  “Joey”Gebron  (CRD#2764264) ,  a  stockbroker who is currently registered  with SW Financial  ,  discloses 7 prior customer disputes, one…

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  • Robert Rex, Esq.

Jason Dworak – UBS Broker-Discloses $1M Award to Customer Over UBS YES Program- Lincoln, NE
Jason Dworak – UBS Broker-Discloses $1M Award to Customer Over UBS YES Program- Lincoln, NE 150 150 Robert Rex, Esq.

August 2021 – Lincoln, NE  According to publicly available records of Jason M. Dworak  ,  a broker  employed with UBS Financial in Lincoln, NE,  discloses  a million dollar award to a…

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  • Robert Rex, Esq.

Matthew Lasko – UBS Broker-Subject of $500K Customer Suit- Dallas, TX
Matthew Lasko – UBS Broker-Subject of $500K Customer Suit- Dallas, TX 150 150 Robert Rex, Esq.

August 2021 – Dallas, TX  According to publicly available records of Matthew E. Lasko  ,  a broker  employed with UBS Financial in Dallas,  discloses  a pending customer dispute. The Financial…

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  • Robert Rex, Esq.

Losses on Lightstone Value Plus Real Estate Investment Trust III ? Investment Loss Recovery Lawyer
Losses on Lightstone Value Plus Real Estate Investment Trust III ? Investment Loss Recovery Lawyer 150 150 Robert Rex, Esq.

August 2021 Did you invest in Lightstone Value Plus REIT III ? Did you Suffer Losses? Lightstone Value Plus REIT III was sold to investors with the promise of a…

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Brett Briggs-Western International Securities Broker- Permanently Barred from FINRA- Bolton, MA
Brett Briggs-Western International Securities Broker- Permanently Barred from FINRA- Bolton, MA 150 150 ER

August 2021- Bolton, MA According to publicly available records,  Brett Briggs a broker currently employed by Western International Securities, Inc. discloses 5 regulatory events and 5 prior customer disputes. The Financial…

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  • Robert Rex, Esq.

Bryon E. Martinsen-Centaurus Financial Broker-Discloses $9.7M Customer Suits-Kings Park, NY
Bryon E. Martinsen-Centaurus Financial Broker-Discloses $9.7M Customer Suits-Kings Park, NY 150 150 Robert Rex, Esq.

August 2021- Kings Park, NY The FINRA records of  Bryon E. Martinsen,  a  stock broker who is currently employed by Centaurus Financial  disclose 3 pending customer disputes, 7 prior customer disputes , a termination from…

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Raymond Velasco, Sr. -Former LPL Financial Broker- Discloses Regulatory Event, Customer Dispute and a Termination- Lisle, IL
Raymond Velasco, Sr. -Former LPL Financial Broker- Discloses Regulatory Event, Customer Dispute and a Termination- Lisle, IL 150 150 ER

August 2021- Lisle, IL According to publicly available records,  Raymond Velasco, Sr.,  a financial advisor who previously was employed by LPL Financial, discloses a regulatory event , a customer dispute and…

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Mark Just – Former Triad Advisors Broker-Discloses Regulatory Event & Customer Suits- Indianapolis, IN
Mark Just – Former Triad Advisors Broker-Discloses Regulatory Event & Customer Suits- Indianapolis, IN 150 150 ER

August 2021 – Indianapolis, IN According to publicly available records of Mark William Just (CRD#1138738) ,  a broker who was last employed with Triad Advisors, Inc.,  discloses  a regulatory event, a…

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