James Parrelly-Former Investment Planners Broker- Discloses 3 Regulatory Events, 7 Final Customer Disputes, 1 Pending Customer Dispute and a Termination-Dearborn, MI

James Parrelly-Former Investment Planners Broker- Discloses 3 Regulatory Events, 7 Final Customer Disputes, 1 Pending Customer Dispute and a Termination-Dearborn, MI 150 150 Robert Rex, Esq.

July 2021- Dearborn, MI According to publicly available records James Parrelly (CRD#728368), an unregistered broker who last worked for Investment Planners, Inc.,  discloses 3 regulatory events,  7 final customer disputes,…

read more

Donald Stephen Woods-Former LPL Financial Broker-Discloses a Regulatory Event, 11 Settled Customer Disputes and 1 Pending Customer Disputes-Louisville, KY

Donald Stephen Woods-Former LPL Financial Broker-Discloses a Regulatory Event, 11 Settled Customer Disputes and 1 Pending Customer Disputes-Louisville, KY 150 150 Robert Rex, Esq.

July  2021– Louisville, KY The FINRA records of Donald Stephen Woods,  a former stockbroker  who was last employed  by  Thurston Springer Financial , disclose  a final regulatory event, 11 settled customer disputes and…

read more

Michael Androulakis – Alexander Capital Broker- Discloses 2 Regulatory Events and 4 Customer Disputes- NYC

Michael Androulakis – Alexander Capital Broker- Discloses 2 Regulatory Events and 4 Customer Disputes- NYC 150 150 Robert Rex, Esq.

July 2021- NYC According to his FINRA record  Michael Androulakis, a financial advisor employed by Alexander Capital  discloses 2 regulatory events and 4 customer disputes. The Financial Industry Regulatory Authority…

read more

Richard Demetriou -Titan Securities Broker-Permanently Barred from FINRA- Addison, TX

Richard Demetriou -Titan Securities Broker-Permanently Barred from FINRA- Addison, TX 150 150 Robert Rex, Esq.

Richard Demetriou Investigation Former Titan Securities Financial Advisor June 2021 – Addison, TX According to publicly available records, former Titan Securities,  financial advisor Richard Demetriou,  has been barred from the securities…

read more

David Fenning-Morgan Stanley Broker-Discloses Settled 4 Customer Disputes and 1 Pending Customer Dispute-NY, NY

David Fenning-Morgan Stanley Broker-Discloses Settled 4 Customer Disputes and 1 Pending Customer Dispute-NY, NY 150 150 Robert Rex, Esq.

April 2021- New York, NY According to publicly available records David W. Fenning (CRD#1005307), a stockbroker who works for Morgan Stanley Smith Barney  discloses 4 settled customer disputes and 1…

read more

Steven Harris-Former Transamerica Financial Broker-Barred from FINRA- Burr Ridge, IL

Steven Harris-Former Transamerica Financial Broker-Barred from FINRA- Burr Ridge, IL 150 150 Robert Rex, Esq.

April 2021- Burr Ridge, IL According to publicly available records, former Transamerica Financial Advisors, Inc.  financial advisor Steven Harris, discloses two regulatory events, a termination and has been barred from the…

read more

Richard L. Pittman-Cetera Advisors Broker-Discloses Settlement of Customer Suits-Memphis, TN

Richard L. Pittman-Cetera Advisors Broker-Discloses Settlement of Customer Suits-Memphis, TN 150 150 Robert Rex, Esq.

January 2021- Memphis, TN The FINRA records of Richard Lynn Pittman, a stockbroker employed by  Cetera Advisors, disclose  4 prior customer disputes . The Financial Industry Regulatory Authority (FINRA) is the agency…

read more

Peter Holler-Former Securities Service Network Broker-Subject of Suits Over Woodbridge Fund Losses-Bristol, TN

Peter Holler-Former Securities Service Network Broker-Subject of Suits Over Woodbridge Fund Losses-Bristol, TN 150 150 Robert Rex, Esq.

December 2020– Bristol, TN The FINRA records of  Peter David Holler ,  a  stock broker who  was last employed by Securities Service Network ,  disclose  six final customer disputes involving the allegedly fraudulent Woodbridge…

read more

Jeffrey Alan Blutstein-Former Kestra Broker-Permanently Barred From FINRA-Holbrook, NY

Jeffrey Alan Blutstein-Former Kestra Broker-Permanently Barred From FINRA-Holbrook, NY 150 150 Robert Rex, Esq.

December  2020- Holbrook, NY According to publicly available records  Jeffrey Alan Blutstein (CRD#1398688), a  former stockbroker who last worked for American Portfolios Financial Services,  discloses a regulatory event and a…

read more

You cannot copy content of this page