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Jay Harper- Dominion Investor Services Broker- Discloses Multiple IRS Liens- Nemo, TX
Jay Harper- Dominion Investor Services Broker- Discloses Multiple IRS Liens- Nemo, TX 150 150 ER

Jay Harper Investigation September  2022- Nemo, TX According to publicly available records  Jason Windle Harper a Dominion Investor Services broker, discloses multiple Internal Revenue Service tax liens. The Financial Industry Regulatory Authority…

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Dusty Lynn Sternadel – Former Ameriprise Financial Services Broker-Customer Alleges Theft -Barred From Securities Industry by Regulators -Wichita Falls, TX
Dusty Lynn Sternadel – Former Ameriprise Financial Services Broker-Customer Alleges Theft -Barred From Securities Industry by Regulators -Wichita Falls, TX 150 150 Robert Rex, Esq.

Dusty Lynn Sternadel Investigation September 2022-Wichita Falls, TX  According to publicly available records Dusty Lynn Sternadel,a former broker who last worked for Ameriprise Financial Services,  discloses a final regulatory matter resulting…

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Doug McKelvey- Former Morgan Stanley Broker-Accused of Misappropriating Customer Funds-Southlake, TX
Doug McKelvey- Former Morgan Stanley Broker-Accused of Misappropriating Customer Funds-Southlake, TX 150 150 Robert Rex, Esq.

Doug McKelvey Investigation September 2022-Southlake, TX  According to publicly available records Douglas M. McKelvey a former broker who was employed by Morgan Stanley ,  discloses a recent regulatory matter, a prior…

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Joseph Ambrosole- Former Joseph Stone Capital Advisor- Discloses Regulatory Events, Customer Suits and an IRS Lien – New York, NY
Joseph Ambrosole- Former Joseph Stone Capital Advisor- Discloses Regulatory Events, Customer Suits and an IRS Lien – New York, NY 150 150 ER

Joseph Ambrosole Investigation September 2022- New York, NY According to publicly available records,  Joseph Ambrosole a former FINRA registered representative who last worked for Joseph Stone Capital, discloses 5 prior…

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Rex Securities Law Investment Fraud Attorney Investigates Walter Reyna formerly with Lincoln Financial Securities
Rex Securities Law Investment Fraud Attorney Investigates Walter Reyna formerly with Lincoln Financial Securities 150 150 Robert Rex, Esq.

Last Updated: December 2023 (McAllen, Texas) Walter Reyna Investigation Summary Here’s what you need to know about McAllen, TX,  stockbroker Walter Reyna: Name: Mr. Walter James Reyna Current Employer: J.W. Cole…

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Christopher Wright – Center Street Securities Broker-Customer Sues Over GWG L-Bond Losses – Prescott, AZ
Christopher Wright – Center Street Securities Broker-Customer Sues Over GWG L-Bond Losses – Prescott, AZ 150 150 Robert Rex, Esq.

Christopher Wright Investigation   September 2022- Prescott, AZ  According to publicly available records Christopher Wright,  a broker employed by Center Street Securities,  discloses a pending customer suit involving an investment in…

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Donnie E. Ingram-Former Centaurus Broker-Discloses Customer Disputes & Regulatory Investigations -WInter Haven, FL
Donnie E. Ingram-Former Centaurus Broker-Discloses Customer Disputes & Regulatory Investigations -WInter Haven, FL 150 150 Robert Rex, Esq.

Donnie Ingram Investigation September 2022-Winter Haven, FL According to publicly available records Donnie E. Ingram, (CRD# 1416971) ,  a  stockbroker who previously worked for  Centaurus Financial Inc. ,  disclose 9  prior customer disputes…

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  • Robert Rex, Esq.

Intervest International Equities & GWG L-Bonds Losses?
Intervest International Equities & GWG L-Bonds Losses? 150 150 Robert Rex, Esq.

Losses on GWG L-Bonds Purchased From Intervest International Equities?   As we have previously posted, see link ( GWG L-Bonds. We can help ), given the fact that GWG Holdings has…

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Kovack Advisors Hit With $900K Regulatory Sanction Over Wrap Fee Charges
Kovack Advisors Hit With $900K Regulatory Sanction Over Wrap Fee Charges 150 150 Robert Rex, Esq.

Kovack Securities Investigation August 2022- Ft. Lauderdale, Florida The Securities and Exchange Commission (SEC) settled charges against registered investment advisor Kovack Advisors, Inc. for misconduct related to its wrap fee…

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