• ER

Berthel Fisher & Co. Discloses Investor Lawsuits Seeking $32 Million- Cedar Rapids, IA
Berthel Fisher & Co. Discloses Investor Lawsuits Seeking $32 Million- Cedar Rapids, IA 150 150 ER

June 2023 Cedar Rapids based Berthel Fisher & Company Financial Services, Inc. discloses that  they may be facing costs of up to $32 million  in connection with a recent flurry…

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  • Robert Rex, Esq.

Oppenheimer & Co. Loses Bid to Have $36 Million FINRA Arbitration Award Overturned- Atlanta, GA
Oppenheimer & Co. Loses Bid to Have $36 Million FINRA Arbitration Award Overturned- Atlanta, GA 150 150 Robert Rex, Esq.

Oppenheimer Hit with $36M Arbitration Award   Attempt to Have It Set Aside Fails   June 2023 – Atlanta, GA  In September 2022 a FINRA arbitration panel awarded  $36 million…

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Luis Paredes Calvo- Citi International Financial / Insigneo Broker- Discloses Pending $5M Customer Suit-San Juan, PR
Luis Paredes Calvo- Citi International Financial / Insigneo Broker- Discloses Pending $5M Customer Suit-San Juan, PR 150 150 ER

Luis Paredes Calvo Investigation June  2023-San Juan, PR According to publicly available records Luis Paredes Calvo,  Insigneo Services (aka Citi International Financial Services)  broker, discloses a pending $5 million customer…

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Victor A. Rigoni- Former Summit Brokerage Services/ Cetera Broker-Discloses FINRA Suspension, Customer Disputes, Tax Liens and Termination From Employment-Lake Forest, IL
Victor A. Rigoni- Former Summit Brokerage Services/ Cetera Broker-Discloses FINRA Suspension, Customer Disputes, Tax Liens and Termination From Employment-Lake Forest, IL 150 150 ER

Victor A. Rigoni III Investigation June 2023-Lake Forest, IL The FINRA records of  Victor A. Rigoni III ,  a broker previously with Summit Brokerage Services,  disclose a FINRA suspension, 5 prior customer…

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Dimitry Tikhonov- Madison Avenue Broker-Discloses Customer Disputes Over GPB, Behringer Harvard REIT, Adageo Petrobonds- Torrance, CA
Dimitry Tikhonov- Madison Avenue Broker-Discloses Customer Disputes Over GPB, Behringer Harvard REIT, Adageo Petrobonds- Torrance, CA 150 150 ER

Dimitry Tikhonov Investigation Recommended GPB, Behringer Harvard REIT, Adageo Petrobonds June 2023- Torrance, CA The FINRA records of Dimitry Tikhonov, a Madison Avenue Securities broker, disclose a prior customer dispute and pending customer…

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Rex Securities Law Investment Fraud Attorney Investigates Kevin Houser formerly with LPL Financial
Rex Securities Law Investment Fraud Attorney Investigates Kevin Houser formerly with LPL Financial 150 150 ER

Last Updated: October 2023 (Center Valley, PA) Kevin Houser Investigation Summary Here’s what you need to know about Center Valley, PA, stockbroker Kevin Houser: Name: Mr. Kevin Douglas Houser Current…

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Rex Securities Law Investment Fraud Attorney Investigates Robert Alan Eisenberg, formerly with Lincoln Financial Advisors Corporation
Rex Securities Law Investment Fraud Attorney Investigates Robert Alan Eisenberg, formerly with Lincoln Financial Advisors Corporation 150 150 ER

June 2023- Vienna, VA Investigation Summary: Robert Alan Eisenberg Have you suffered financial losses due to Vienna, VA stockbroker Robert Alan Eisenberg? Below is the latest information we have on…

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Steven Martin Barnett- Former LPL Broker-Discloses Regulatory Event and Customer Dispute- Jacksonville, FL
Steven Martin Barnett- Former LPL Broker-Discloses Regulatory Event and Customer Dispute- Jacksonville, FL 150 150 ER

Steven Martin Barnett Investigation June 2023- Jacksonville, FL The FINRA records of  Stephen Martin Barnett ,   a  stockbroker who was previously employed by  LPL Financial  disclose a regulatory matter, a  customer…

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Valentino Michael Scott- Centaurus Financial Broker-Discloses Award and Pending Customer Disputes- West Hills, CA
Valentino Michael Scott- Centaurus Financial Broker-Discloses Award and Pending Customer Disputes- West Hills, CA 150 150 ER

Valentino Michael Scott Investigation June 2023- West Hills, CA The FINRA records of  Valentino Michael Scott, a  Centaurus Financial, Inc. broker, disclose  customer disputes. The Financial Industry Regulatory Authority (FINRA) is the agency…

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  • Robert Rex, Esq.

Stifel Nicolaus & Co. Fined $2.5 Million For Allowing Broker to Make Unauthorized Trades
Stifel Nicolaus & Co. Fined $2.5 Million For Allowing Broker to Make Unauthorized Trades 150 150 Robert Rex, Esq.

Stifel Nicolaus Investigation May 2023- Taunton, MA  According to publicly available records,  Stifel Nicolaus & Co.  has been fined $2.5 million by Massachusetts securities regulator William Galvin for ignoring a…

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