International Assets Advisory investment Archives

ER
April 4, 2024

Robert Alvarez- International Assets Advisory Management Broker- Discloses Regulatory Event, Customer Disputes and Terminations From Employment – Metairie, LA

Robert Alvarez- International Assets Advisory Management Broker- Discloses Regulatory Event, Customer Disputes and Terminations From Employment – Metairie, LA 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 April 4, 2024 April 5, 2024

Robert Alvarez Investigaton April 2024- Metairie, LA According to publicly available records, Robert Alvarez, a broker with International Assets Investment Management discloses a regulatory event , a currently pending customer dispute,…

Robert Rex, Esq.
October 30, 2018

Charles Bloom- Former Chelsea Financial Services Broker-Barred From Securities Industry- Royal Palm Beach, FL

Charles Bloom- Former Chelsea Financial Services Broker-Barred From Securities Industry- Royal Palm Beach, 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/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g October 30, 2018 October 30, 2018

October 2018- Royal Palm Beach, FL Publicly available records disclose that Charles Lewis Bloom, a former stockbroker who was previously employed by Chelsea Financial Services, discloses 3 regulatory events and a currently…

Robert Rex, Esq.
August 31, 2018

Michael Polyakov- Westpark Capital Broker-Discloses Customer Disputes – Boca Raton, FL

Michael Polyakov- Westpark Capital Broker-Discloses Customer Disputes – Boca Raton, 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/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 31, 2018 August 31, 2018

March 2018 – Boca Raton, FL According to publicly available records Michael Polyakov, (CRD# 734810) , a stockbroker who is currently employed by Westpark Capital , disclose 3 prior settled customer disputes . The Financial Industry Regulatory Authority…

Robert Rex, Esq.
November 23, 2016

Donald L. Watson-Former Jeffrey Matthews Broker- Discloses Discharge from Employment

Donald L. Watson-Former Jeffrey Matthews Broker- Discloses Discharge from Employment 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 November 23, 2016 November 23, 2016

UPDATE April 2018– IN 3/2017 FINRA permanently barred Donald Lee Watson, Jr. from the securities industry for refusing to cooperate with a FINRA investigation. November 2016-Sarasota, FL The FINRA records of Donald…

Robert Rex, Esq.
March 30, 2016

Steven Ridgley, Waddell & Reed Broker, Sanctioned for Unauthorized Trading

Steven Ridgley, Waddell & Reed Broker, Sanctioned for Unauthorized Trading 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 March 30, 2016 March 30, 2016

March 23, 2016-Louisville, KY Steven D. Ridgley entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while employed by Waddell…