finra investigation of stock broker Archives

ER
September 1, 2022

Rex Securities Law Investment Fraud Attorney Investigates Jeff Labelle formerly with LPL Financial

Rex Securities Law Investment Fraud Attorney Investigates Jeff Labelle formerly with LPL Financial https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g September 1, 2022 January 22, 2024

Last Updated: January 2024 (Sarasota, FL) Jeff Labelle Investigation Summary Here’s what you need to know about Sarasota, FL, stockbroker Jeffrey Labelle: Name: Mr. Jeffrey Guy Labelle Current Employer: Not…

ER
August 15, 2022

Edward Turley- Former JP Morgan Broker- Discloses Over $30M in Settlements of Customer Suits- San Francisco, CA

Edward Turley- Former JP Morgan Broker- Discloses Over $30M in Settlements of Customer Suits- San Francisco, CA https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g August 15, 2022 October 4, 2023

Edward Turley Investigation March 2023– San Francisco, CA According to publicly available records, Edward L. Turley, a broker previously with JP Morgan in San Francisco, CA, discloses 8 prior customer complaints, 2 pending…

ER
July 6, 2022

Suzanne Charrin- Former Woodbury Financial Services Broker- Discloses Termination of Employment, Greenwood Village, CO

Suzanne Charrin- Former Woodbury Financial Services Broker- Discloses Termination of Employment, Greenwood Village, CO https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g July 6, 2022 October 5, 2023

Suzanne Charrin Investigation July 2022- Greenwood Village, CO According to available records, Suzanne Charrin , an unregistered broker previously with Woodbury Financial Services, discloses a termination from employment. The Financial…

ER
July 5, 2022

Mark Menard- Former Merrill Lynch Broker- Discloses Regulatory Suspension and Termination, Houston, TX

Mark Menard- Former Merrill Lynch Broker- Discloses Regulatory Suspension and Termination, Houston, TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g July 5, 2022 October 5, 2023

Mark Menard Investigation July 2022- Houston, TX According to available records, Mark Menard, a broker previously with Merrill Lynch, Pierce, Fenner & Smith, who now works for Cantella & Co.,…

ER
June 27, 2022

Joe Allbright- Former Farmers Financial Broker- Discloses Regulatory Suspension and Prior Customer Dispute, Odessa, TX

Joe Allbright- Former Farmers Financial Broker- Discloses Regulatory Suspension and Prior Customer Dispute, Odessa, TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g June 27, 2022 September 29, 2023

Joe Allbright Investigation June 2022- Odessa, TX According to publicly available records, Joe M. Allbright, a currently unregistered broker, who last worked for Farmers Financial Solutions in Odessa, TX , discloses a regulatory…

ER
June 13, 2022

Chris McFadden- Former LPL Financial Broker- Discloses Regulatory Suspension, Dallas, TX

Chris McFadden- Former LPL Financial Broker- Discloses Regulatory Suspension, Dallas, TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g June 13, 2022 September 30, 2023

Chris McFadden Investigation June 2022- Dallas, TX According to publicly available records, Chris D. McFadden, a currently unregistered broker, who last worked for Equitable Advisors and LPL Financial in Dallas, TX , discloses…

ER
May 4, 2022

Dennis Riordan- Wynston Hill Capital Broker- Discloses Regulatory Suspension and Customer Suits-Bronx, NY

Dennis Riordan- Wynston Hill Capital Broker- Discloses Regulatory Suspension and Customer Suits-Bronx, NY https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g May 4, 2022 October 5, 2023

Dennis Riordan Investigation May 2022- Greenwich, CN According to publicly available records, Dennis Riordan, a Wynston Hill Capital broker in Bronx, NY , discloses 3 regulatory events and 3 final customer complaints.…

Robert Rex, Esq.
September 20, 2015

Garrett Ahrens, Former LPL Financial Broker Receives Notice of Investigation by Securities Regulator

Garrett Ahrens, Former LPL Financial Broker Receives Notice of Investigation by Securities Regulator https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g September 20, 2015 September 20, 2015

September 18, 2015- Lafayette, Lousiana The Investment News reports that Garrett Andrew Ahrens, a broker ranked as one of the top advisers in Louisiana by Barron’s, with assets under management…

Robert Rex, Esq.
June 12, 2015

Global Arena Capital -FINRA Cancels Registraion

Global Arena Capital -FINRA Cancels Registraion https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 12, 2015 June 12, 2015

Global Arena Capital FINRA Registration Cancelled. According to FINRA records, FINRA cancelled the registration of Global Arena Capital as of 7/20/2015 for failure to pay FINRA registration fees. The company…