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Brian Wurdermann- Former RBC Capital Markets Advisor- Barred From Industry by Securities Regulators -Discloses $1.8 Million Customer Suit -New York, NY
Brian Wurdermann- Former RBC Capital Markets Advisor- Barred From Industry by Securities Regulators -Discloses $1.8 Million Customer Suit -New York, NY 150 150 ER

Brian Wurdermann Investigation Updated December  2023 New York, NY According to publicly available records Brian Wurdermann a former broker who last worked for RBC Capital Markets,  discloses a regulatory matter resulting…

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  • Robert Rex, Esq.

Kirk Badii-Former UBS Broker-$525K Settlement to Elderly Homemaker-Southlake, TX
Kirk Badii-Former UBS Broker-$525K Settlement to Elderly Homemaker-Southlake, TX 150 150 Robert Rex, Esq.

Kirk Badii Investigation December 2023 update Southlake, TX The FINRA records of  Kirk Badii,  a  stockbroker who previously worked for UBS Financial Services , disclose setlement of a customer dispute  and 2 terminations from…

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Mark Cline – Former National Securities Corp. Broker-GWG L- Bond Suits – Wildwood, FL
Mark Cline – Former National Securities Corp. Broker-GWG L- Bond Suits – Wildwood, FL 150 150 ER

Mark Alan Cline & GWG L-Bond Investigation Updated December 2023 Wildwood, FL The FINRA records of Mark Allen Cline,  a former National Securities Corp.  broker discloses 18 settled prior suits and…

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  • Robert Rex, Esq.

Nick Giallourakis- Newbridge Securities Broker-Discloses Customer Disputes-Clearwater, FL
Nick Giallourakis- Newbridge Securities Broker-Discloses Customer Disputes-Clearwater, FL 150 150 Robert Rex, Esq.

Updated: December 2023 Clearwater, Florida Newbridge Securities broker Nicholas M.  Giallourakis  discloses 4 prior final customer disputes on his FINRA records. In 10.2023 a customer of Newbridge Securities was paid $14,999…

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Curt Wilson- Former Securities America/ChangePath LLC Broker-Discloses $250K Settlement of Customer Dispute Involving Option Trading- Tulsa, OK
Curt Wilson- Former Securities America/ChangePath LLC Broker-Discloses $250K Settlement of Customer Dispute Involving Option Trading- Tulsa, OK 150 150 ER

Curt Wilson Investigation FEBRUARY 2025 UPDATE-FOLLOW THIS LINK July 2023- Tulsa, OK The FINRA records of  Curtis “Curt” Wilson,   a currently unregistered broker who was previously employed with  Securities America , disclose…

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Gregory Sain – Former Stifel Nicolaus Broker- Discloses Prior Customer Settlements – Beverly Hills, CA
Gregory Sain – Former Stifel Nicolaus Broker- Discloses Prior Customer Settlements – Beverly Hills, CA 150 150 ER

Gregory Sain Investigation June 2023 – Beverly Hills, CA According to publicly available records  Gregory Sain ,  a broker  who was previously registered with Stifel Nicolaus and is now with Morgan…

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  • Robert Rex, Esq.

Centaurus Broker Atul Makharia Subject of Regulatory Sanctions/ Customer Complaints Over Sale of Variable Interest Rate Structured Products- Lexington, SC
Centaurus Broker Atul Makharia Subject of Regulatory Sanctions/ Customer Complaints Over Sale of Variable Interest Rate Structured Products- Lexington, SC 150 150 Robert Rex, Esq.

Atul Makharia Investigation Sold Variable Interest Rate Structured Products July 2023-Lexington, SC The FINRA records of Atul Makharia, currently employed by Centaurus Financial, disclose a  regulatory event, 9 prior customer disputes and…

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  • Robert Rex, Esq.

Madison Avenue Securities Fined By Texas Securities Regulators Over GPB Automotive Sales
Madison Avenue Securities Fined By Texas Securities Regulators Over GPB Automotive Sales 150 150 Robert Rex, Esq.

Texas Regulators Fine Madison Avenue Securities GPB Automotive Portfolio, LP    June 2023- Austin, Texas San Diego based Madison Avenue Securities was fined $20,000 by the Texas State Securities Board…

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Timothy Connor – LPL Financial Broker- Has Pending Customer Dispute -Redwood City, CA
Timothy Connor – LPL Financial Broker- Has Pending Customer Dispute -Redwood City, CA 150 150 ER

Timothy Connor Investigation June 2023 – Redwood City, CA According to publicly available records  Timothy Connor, of  LPL Financial , discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…

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James Warring- Former DAI Securities Advisor/ Eaglestone Wealth Advisor- Has a $4.5M Pending Customer Dispute-Rockville, Maryland
James Warring- Former DAI Securities Advisor/ Eaglestone Wealth Advisor- Has a $4.5M Pending Customer Dispute-Rockville, Maryland 150 150 ER

James Warring Investigation June 2023 – Rockville, Maryland According to publicly available records  James Dale Warring,  a broker currently registered with Emerson Equity,  discloses $4.5M pending customer dispute. The Financial Industry…

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