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Jonathon Ebel – Network 1 Financial Securities Broker-Discloses Multiple Customer Disputes – Hauppauge, NY
Jonathon Ebel – Network 1 Financial Securities Broker-Discloses Multiple Customer Disputes – Hauppauge, NY 150 150 ER

Jonathon Ebel  Investigation January 2024-Hauppauge, NY According to publicly available record Jonathon Ebel, a Network 1 Financial Securities broker discloses three prior customer disputes and two pending customer disputes. The Financial Industry…

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George W. Fellows, Jr. -Former Merrill Lynch Broker-Discloses Regulatory Event, Settlement of Customer Dispute and Termination-Washington, DC
George W. Fellows, Jr. -Former Merrill Lynch Broker-Discloses Regulatory Event, Settlement of Customer Dispute and Termination-Washington, DC 150 150 ER

George Fellows Investigation January 2024- Washington, DC The FINRA records of  George W. Fellows, Jr.,   a former Merrill Lynch broker,  disclose a regulatory event,  a settled customer dispute and a termination.…

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Kenneth A. Luccioni-Former Triad Advisor Broker-Settles Multiple Suits Involving Over-concentration of Oil & Gas Investments-Park Ridge, IL
Kenneth A. Luccioni-Former Triad Advisor Broker-Settles Multiple Suits Involving Over-concentration of Oil & Gas Investments-Park Ridge, IL 150 150 ER

Kenneth A. Luccioni Investigation January 2024-Park Ridge, IL The FINRA records of Kenneth A. Luccioni,  a former stock broker who was last employed in the industry by Triad Advisors, Inc. ,…

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  • Robert Rex, Esq.

William Gordon-Kovack Securities Broker-Discloses12 Customer Suits-Clearwater, FL
William Gordon-Kovack Securities Broker-Discloses12 Customer Suits-Clearwater, FL 150 150 Robert Rex, Esq.

January 2024 – Clearwater, FL According to publicly available records  William B. Gordon  (CRD# 2127800) ,  a   registered stockbroker currently employed by Kovack Securities  disclose a prior regulatory event and 12 prior…

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Ivan Shore-Oppenheimer & Co. Broker-Discloses Regulatory Event & Suspension-New York, NY
Ivan Shore-Oppenheimer & Co. Broker-Discloses Regulatory Event & Suspension-New York, NY 150 150 ER

Ivan Shore Investigation January 2024- New York, NY According to his FINRA record  Ivan Shore , a broker employed by Oppenheimer & Co. discloses a final regulatory investigation event and…

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  • Robert Rex, Esq.

Moody Securities Sanctioned by FINRA Over REIT Sales-Houston, TX
Moody Securities Sanctioned by FINRA Over REIT Sales-Houston, TX 150 150 Robert Rex, Esq.

January 2024, Houston, Texas  Moody Securities, LLC,  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that it violated FINRA rules  governing…

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John Kevin Egan- Former Western International Securities Broker-Discloses 4 Customer Disputes Seeking More Than $500,000-Glendora, CA
John Kevin Egan- Former Western International Securities Broker-Discloses 4 Customer Disputes Seeking More Than $500,000-Glendora, CA 150 150 ER

John Egan Investigation January 2024– Glendora, CA According to publicly available records John Kevin Egan  an unregistered broker previously employed by Western International Securities,  discloses 4 pending customer disputes and 3…

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Kennister Daley-Allstate Financial Services Broker- Discloses Settlement of Non Traded REIT Customer Dispute- Boynton Beach, FL
Kennister Daley-Allstate Financial Services Broker- Discloses Settlement of Non Traded REIT Customer Dispute- Boynton Beach, FL 150 150 ER

Kennister Daley  Investigation September 2022- Boynton Beach, FL  According to publicly available records,  Kennister U. Daley,  an Allstate Financial Services broker discloses settlement of a  customer dispute. The Financial Industry…

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  • Robert Rex, Esq.

Jason Jaynes-Former Merrill Lynch Advisor-Settles Customer Disputes for $4.85 Million-Plano, Texas
Jason Jaynes-Former Merrill Lynch Advisor-Settles Customer Disputes for $4.85 Million-Plano, Texas 150 150 Robert Rex, Esq.

Jason R. Jaynes Investigation January 2024-Plano, TX According to publicly available records Jason R. Jaynes  ,  a  stockbroker who was previously registered with Merrill Lynch, discloses settlement of a customer dispute which…

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Sean Casterline-Former International Assets Advisory-Subject of Customer Claim for Damages- Maitland, FL
Sean Casterline-Former International Assets Advisory-Subject of Customer Claim for Damages- Maitland, FL 150 150 ER

Sean Casterline Investigation Updated December 2023 Maitland, FL According to publicly available records Sean Casterline a  stockbroker who was suspended for 18 months (1/2022-7/2023) and who last worked for Delta Securities Company …

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