Wells Fargo

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Antoine Souma- Insigneo Securities Broker- Discloses $14M Settlement-Beverly Hills, CA
Antoine Souma- Insigneo Securities Broker- Discloses $14M Settlement-Beverly Hills, CA 150 150 ER

Antoine Souma Investigation May  2022-Beverly Hills, CA According to publicly available records Antoine Nabih Souma, a broker with Insigneo Advisory Services discloses a regulatory event, a prior customer dispute and a…

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Rex Securities Law Investment Fraud Attorney Investigates Raul Benitez formerly with Truist Securities (formerly Suntrust )
Rex Securities Law Investment Fraud Attorney Investigates Raul Benitez formerly with Truist Securities (formerly Suntrust ) 150 150 ER

Last Updated: December 2023 (Aventura, FL) Raul Benitez Investigation Summary Here’s what you need to know about Aventura, Florida, stockbroker Raul Benitez: Name: Mr. Raul Jorge Benitez Current Employer: Aragon…

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Tyler Rigsbee- Former Wells Fargo Broker- Permanently Barred from FINRA- Sacramento, CA
Tyler Rigsbee- Former Wells Fargo Broker- Permanently Barred from FINRA- Sacramento, CA 150 150 ER

Tyler Rigsbee Investigation May  2022 – Sacramento, CA According to publicly attained records, Tyler Michael Rigsbee, a former stockbroker who was last employed by Wells Fargo Clearing Services,  discloses a…

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James A. Seijas- Former Wells Fargo Broker-Barred From Industry by Securities Regulator-Short Hills, NJ
James A. Seijas- Former Wells Fargo Broker-Barred From Industry by Securities Regulator-Short Hills, NJ 150 150 ER

James A. Seijas Investigation April 2022- Bloomington, MN  The FINRA records of  James A. Seijas ,  a  former financial advisor who was last employed by  Wells Fargo Clearing Services, disclose a…

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  • Robert Rex, Esq.

Jeffrey L. Eglow- Newbridge Securities Broker-Has Pending Customer Complaints- Boca Raton, FL
Jeffrey L. Eglow- Newbridge Securities Broker-Has Pending Customer Complaints- Boca Raton, FL 150 150 Robert Rex, Esq.

Jeffrey L. Eglow/ Newbridge Securities Investigation August 2022- Boca Raton, FL According to publicly available records, Newbridge Securities Corporation  financial advisor Jeffrey Eglow,   discloses 2 pending and 4 prior customer disputes.…

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  • Robert Rex, Esq.

Mario Rivero Investigation -Former Wells Fargo Broker-Red Bank, New Jersey
Mario Rivero Investigation -Former Wells Fargo Broker-Red Bank, New Jersey 150 150 Robert Rex, Esq.

Mario E. Rivero Investigation March 2022-Red Bank, New Jersey We are investigating former Wells Fargo financial advisor Mario E. Rivero, Jr. According to FINRA records Mario Rivero discloses a recent bar…

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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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Nicholas Palumbo-Former Park Avenue Securities Broker-Barred From Securities Industry-Armonk, NY
Nicholas Palumbo-Former Park Avenue Securities Broker-Barred From Securities Industry-Armonk, NY 150 150 ER

Nicholas Palumbo Investigation December 2021- Armonk, NY According to publicly available records Nicholas R. Palumbo,  a  former stockbroker who last worked for Park Avenue Securities discloses that he has been sued by…

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