securities attorney

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Glenn Brandon – Former BB&T Securities Broker- Barred from FINRA-Birmingham, AL
Glenn Brandon – Former BB&T Securities Broker- Barred from FINRA-Birmingham, AL 150 150 ER

Glenn E. Brandon Investigation February 2024- Birmingham, AL The FINRA records of  Glenn Edward Brandon,  a former broker who was last  employed by  BB&T Securities disclose a final regulatory matter resulting…

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Gustavo Miramontes-Oppenheimer Broker-Discloses 10 Final and One Pending Customer Disputes – Los Angeles, CA
Gustavo Miramontes-Oppenheimer Broker-Discloses 10 Final and One Pending Customer Disputes – Los Angeles, CA 150 150 ER

Gustavo Miramontes Investigation February 2024 – Los Angeles, CA According to publicly available records  Gustavo Miramontes,  a stockbroker with Oppenheimer & Co., discloses 10 prior customer disputes, 5apending customer dispute…

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Stacy Goldsmith-Herbert J. Sims & Co. Broker-Subject of Customer Complaints Over Private Placements-Iselin, NJ
Stacy Goldsmith-Herbert J. Sims & Co. Broker-Subject of Customer Complaints Over Private Placements-Iselin, NJ 150 150 ER

Stacy Mari Goldsmith Investigation February 2024– Iselin, NJ According to publicly available records Stacy Mari Goldsmith, a Herbert J. Sims & Co., Inc. broker discloses 3 pending customer disputes and…

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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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  • 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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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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Centaurus Broker Ricky Alan Mantei Subject of Numerous Customer Complaints Ordered to Cease and Desist- Lexington, SC
Centaurus Broker Ricky Alan Mantei Subject of Numerous Customer Complaints Ordered to Cease and Desist- Lexington, SC 150 150 ER

Ricky Alan Mantei Investigation Updated December 2023 Former JP Turner & Centaurus Customers Have Sued for Damages-Sold Variable Interest Rate Structured ProductsLexington, SC The FINRA records of Ricky Alan Mantei, currently employed…

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