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Marc Lowell- Former LPL Financial Broker-Discloses Termination- Ft. Lauderdale, FL
Marc Lowell- Former LPL Financial Broker-Discloses Termination- Ft. Lauderdale, FL 150 150 ER

Marc Lowell Investigation September  2022- Ft. Lauderdale, FL The FINRA records of  Marc Layne Lowell,   a  stockbroker previously employed by  LPL Financial and who is currently employed with Alliance Global Partners…

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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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  • Robert Rex, Esq.

Jon Vinge – Intervest International Equities Broker-GWG L- Bond Suit – Colorado Springs, CO
Jon Vinge – Intervest International Equities Broker-GWG L- Bond Suit – Colorado Springs, CO 150 150 Robert Rex, Esq.

Jon Vinge & GWG L-Bond Investigation August 2022-Colorado Springs, CO  The FINRA records of Jonathan C. Vinge,  an  Intervest International Equities Corp.  broker was recently named in a FINRA arbitration by a…

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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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  • Robert Rex, Esq.

David W. Lentz-Former Kestra Broker-Has Customer Suit Seeking $2M- Alleges Churning – Kernersville, NC
David W. Lentz-Former Kestra Broker-Has Customer Suit Seeking $2M- Alleges Churning – Kernersville, NC 150 150 Robert Rex, Esq.

David Lentz Investigation August 2022-Kernersville, North Carolina The FINRA records of David W. Lentz,  a  former Kestra Investment Services broker and owner of Thorium Wealth Management disclose a pending customer dispute seeking millions in damages. The Financial Industry…

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Robert Bragg-Newbridge Securities Broker-Discloses Customer Disputes Over Alternative Investments- Monument, CO
Robert Bragg-Newbridge Securities Broker-Discloses Customer Disputes Over Alternative Investments- Monument, CO 150 150 Robert Rex, Esq.

Robert C. Bragg Investigation Monument,  Colorado According to publicly available records Robert Charles Bragg, a broker who works for Newbridge Securities,  discloses a pending customer dispute and a prior regulatory matter.…

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Jerry Tuma- Independent Financial Group Broker-Customer Suit Over REIT -Dallas, TX
Jerry Tuma- Independent Financial Group Broker-Customer Suit Over REIT -Dallas, TX 150 150 ER

Jerry Tuma Investigation August 2022-Dallas, TX According to FINRA records,  Jerry Tuma,  a broker with  Independent Financial Group discloses two finalized customer disputes and a currently pending customer dispute. The…

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  • Robert Rex, Esq.

William L. Baumner- Former Buckman, Buckman & Reid Broker-Has Multiple Customer Suits Involving Private Placements-Boca Raton, FL
William L. Baumner- Former Buckman, Buckman & Reid Broker-Has Multiple Customer Suits Involving Private Placements-Boca Raton, FL 150 150 Robert Rex, Esq.

William L. Baumner Investigation August 2022-Boca Raton, Florida According to FINRA records,  William L. Baumner, IV ,   a previously registered stockbroker who last worked for Tradespot Markets and  Buckman, Buckman & Reid   discloses  a…

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  • Robert Rex, Esq.

Scarlett Ramsey- Former NY Life Securities Broker-Barred From Securities Industry by Regulators – Lubbock, TX
Scarlett Ramsey- Former NY Life Securities Broker-Barred From Securities Industry by Regulators – Lubbock, TX 150 150 Robert Rex, Esq.

Scarlett Ramsey Investigation August 2022-Lubbock, TX According to publicly available records Scarlett Deann Ramsey ,a former broker who last worked for NY Life Securities,  discloses a final regulatory matter resulting in…

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  • Robert Rex, Esq.

Lynn Cawthorne -Former Cambridge Investment Research Broker- Sentenced to Federal Prison for Wire Fraud-Shreveport, LA
Lynn Cawthorne -Former Cambridge Investment Research Broker- Sentenced to Federal Prison for Wire Fraud-Shreveport, LA 150 150 Robert Rex, Esq.

Lynn Cawthorne- Former Cambridge Investment Broker Sentenced for Wire Fraud August 2022-Shreveport, LA Shreveport Times photo of Lynn Cawthorne According to publicly available records, Lynn Dale Cawthorne, a former broker,…

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