International Assets Advisory problem

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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 150 150 ER

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,…

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  • Robert Rex, Esq.

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 150 150 Robert Rex, Esq.

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…

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  • Robert Rex, Esq.

Michael Polyakov- Westpark Capital Broker-Discloses Customer Disputes – Boca Raton, FL
Michael Polyakov- Westpark Capital Broker-Discloses Customer Disputes – Boca Raton, FL 150 150 Robert Rex, Esq.

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…

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  • Robert Rex, Esq.

Damian Bell -Prior WFG Investments, Inc. Broker-Discloses Customer Disputes-Daphne, AL
Damian Bell -Prior WFG Investments, Inc. Broker-Discloses Customer Disputes-Daphne, AL 150 150 Robert Rex, Esq.

September  2017 – Daphne, AL According to publicly available records Damian M. Bell  (CRD#2348521) ,  a  stockbroker who was previously employed by WFG (Williams Financial Group) Investments, Inc. ,  disclose 2 pending and 5…

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  • Robert Rex, Esq.

Donald L. Watson-Former Jeffrey Matthews Broker- Discloses Discharge from Employment
Donald L. Watson-Former Jeffrey Matthews Broker- Discloses Discharge from Employment 150 150 Robert Rex, Esq.

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…

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  • Robert Rex, Esq.

Steven Ridgley, Waddell & Reed Broker, Sanctioned for Unauthorized Trading
Steven Ridgley, Waddell & Reed Broker, Sanctioned for Unauthorized Trading 150 150 Robert Rex, Esq.

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…

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  • Robert Rex, Esq.

Former FSC Securities Broker In Grapevine, TX, Barred From Securities Industry
Former FSC Securities Broker In Grapevine, TX, Barred From Securities Industry 150 150 Robert Rex, Esq.

April 10, 2015-Grapevine, Texas  James E. Scott , entered into an Order Accepting Offer of Settlement (Order) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he aided and abetted…

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