Calton and Assoc. Archives

Robert Rex, Esq.
November 3, 2020

Stuart Henley-Former Morgan Stanley Broker- Discloses Regulatory Event,Customer Dispute Settled for $800K and a Termination-Tampa, FL

Stuart Henley-Former Morgan Stanley Broker- Discloses Regulatory Event,Customer Dispute Settled for $800K and a Termination-Tampa, FL https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g November 3, 2020 November 3, 2020

November 2020- Tampa, FL According to publicly available records Stuart Henley (CRD#1368973), a former stockbroker who last worked for Harmony Asset Management, discloses a regulatory event, a final customer dispute…

Robert Rex, Esq.
September 10, 2019

Capital Financial Services Closing Down Business-Accounts Transferred to Calton & Associates

Capital Financial Services Closing Down Business-Accounts Transferred to Calton & Associates https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g September 10, 2019 September 10, 2019

September 2019 Capital Financial Services (CFS) , a brokerage firm with headquarters in Minot, North Dakota, recently notified its customers that it is closing down its business on or about…

Featured Investigations

Stuart Henley-Former Morgan Stanley Broker- Discloses Regulatory Event,Customer Dispute Settled for $800K and a Termination-Tampa, FL

Capital Financial Services Closing Down Business-Accounts Transferred to Calton & Associates