securities attorney

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Mark Williams-Former Centaurus Financial Broker- Settlement of Customer Disputes- Carmel, CA
Mark Williams-Former Centaurus Financial Broker- Settlement of Customer Disputes- Carmel, CA 150 150 ER

Mark Williams Investigation April 2024-Carmel by the Sea, CA According to publicly available records Mark John Williams ,  a former Centaurus Financial Inc., broker who now works for Kingswood Capital…

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Bob Boschke- Former CFD Investments Broker-Discloses 3 Terminations From Employment-St. Germain, WI
Bob Boschke- Former CFD Investments Broker-Discloses 3 Terminations From Employment-St. Germain, WI 150 150 ER

Bob Boschke Investigation April 2024- St. Germain, WI The FINRA records of  Robert “Bob” Boschke,   a  stockbroker previously employed by  CFD Investments, Inc.  and LPL Financial disclose  two regulatory actions and 3…

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Scott Bremus- Former LPL Broker- Discloses Customer Suit and Termination of Employment- Dacula, GA
Scott Bremus- Former LPL Broker- Discloses Customer Suit and Termination of Employment- Dacula, GA 150 150 ER

Scott Bremus Investigation April 2024- Dacula, GA According to publicly available records Scott Bremus,  a broker previously registered with LPL Financial discloses 2 regulatory events, 2 final customer disputes and…

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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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Joseph “Joey” Cason- Former First Allied Securities Broker- Discloses 2 Pending Customer Disputes- Brunswick, GA
Joseph “Joey” Cason- Former First Allied Securities Broker- Discloses 2 Pending Customer Disputes- Brunswick, GA 150 150 ER

Joseph “Joey” Cason Investigation April, 2024 – Brunswick, GA The FINRA records of Joseph “Joey” M. Cason, a  broker currently employed by Triad Advisors, who was previously employed by First Allied Securities, Inc. disclose…

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  • Robert Rex, Esq.

James T. Flynn-Former VOYA Broker-More Than $19 Million Paid Out to Disgruntled Former Clients-Greenville, SC
James T. Flynn-Former VOYA Broker-More Than $19 Million Paid Out to Disgruntled Former Clients-Greenville, SC 150 150 Robert Rex, Esq.

James Travis Flynn Investigation April 2024-Greer , SC/ Greenville, SC Over the past 5 years we have  successfully obtained significant damages for several dozen former customers of  James Travis Flynn,…

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Eugene “Bron” Thompson- Capital Investment Broker- Discloses Customer Disputes Involving GWG Holdings- Wallace, NC
Eugene “Bron” Thompson- Capital Investment Broker- Discloses Customer Disputes Involving GWG Holdings- Wallace, NC 150 150 ER

Eugene Cebron “Bron” Thompson Investigation March 2024– Wallace, NC According to publicly available records,  Eugene “Bron” Thompson,  a broker with Capital Investment Group,  discloses several customer dispute related to GWG…

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  • Robert Rex, Esq.

Francisco Valenzuela-Former Morgan Stanley Broker-Ordered to Pay Mexican Farmer $160,000 -Phoenix, AZ
Francisco Valenzuela-Former Morgan Stanley Broker-Ordered to Pay Mexican Farmer $160,000 -Phoenix, AZ 150 150 Robert Rex, Esq.

Francisco Valenzuela Investigation February 2024- Phoenix, AZ  According to FINRA records,  Francisco J. Valenzuela ,  a former broker  who previously worked for Morgan Stanley , discloses 2 regulatory events,  4 prior…

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Robert David-Former Morgan Stanley Broker-Discloses Multiple Customer Disputes -Farmington Hills, MI
Robert David-Former Morgan Stanley Broker-Discloses Multiple Customer Disputes -Farmington Hills, MI 150 150 ER

Robert David Investigation February 2024- Farmington Hills, MI According to FINRA records,  Robert C. David, Jr.  ,  a broker  who previously worked for Morgan Stanley , discloses a regulatory event,…

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