securities attorney

  • ER

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…

read more
  • 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…

read more
  • Robert Rex, Esq.

Securities Regulators List Top Investor Threats for 2023- Washington, D.C.
Securities Regulators List Top Investor Threats for 2023- Washington, D.C. 150 150 Robert Rex, Esq.

Top Investor Threats for 2023 Per NASAA  April 2023 The North American Securities Administrators Association (NASAA)represents state and provincial securities regulators in the United States, Canada and Mexico. According to…

read more
  • Robert Rex, Esq.

Financial Adviser Christopher Burns Indicted For Fraud Scheme- Berkeley Lake , GA
Financial Adviser Christopher Burns Indicted For Fraud Scheme- Berkeley Lake , GA 150 150 Robert Rex, Esq.

Christopher Burns Charged With Stealing Millions  April 2023– Berkeley Lake, GA  According to a press release issued by the U S Attorney’s office for Northern District of Georgia, “He betrayed…

read more
  • ER

Robinhood Financial to Pay up to $10.2M to Settle Regulator Claims- Austin, TX
Robinhood Financial to Pay up to $10.2M to Settle Regulator Claims- Austin, TX 150 150 ER

Texas State Securities Board Settlement with Robinhood Financial  April 2023– Austin, TX   The Texas State Securities Board (TSSB) has joined a multi-state settlement with Robinhood Financial which will pay…

read more
  • ER

Don Kowalsky- Cambridge Investment Research Broker-Discloses Disputes – Atlanta, GA
Don Kowalsky- Cambridge Investment Research Broker-Discloses Disputes – Atlanta, GA 150 150 ER

Donald Kowalsky Investigation April 2023- Atlanta, GA  The FINRA records of  Donald Kowalsky ,   a Cambridge Investment Research, Inc. broker discloses  3 prior customer disputes and a pending customer dispute. The…

read more
  • Robert Rex, Esq.

Bethel Fisher Discloses Investor Lawsuits Seeking $32 Million- Cedar Rapids, IA
Bethel Fisher Discloses Investor Lawsuits Seeking $32 Million- Cedar Rapids, IA 150 150 Robert Rex, Esq.

April 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…

read more
  • ER

Wade Theo Papas-Former National Securities Broker-Subject of Customer Complaints Involving REITs Seeking $286K- New York, NY
Wade Theo Papas-Former National Securities Broker-Subject of Customer Complaints Involving REITs Seeking $286K- New York, NY 150 150 ER

Wade Theo Papas Investigation April 2023-New York, NY According to publicly available records Wade Theo Papas, a former National Securities Corporation broker discloses 2 pending customer disputes. The Financial Industry Regulatory…

read more
  • ER

Heath Goldstein-Western International Securities Broker-Three prior and Six Pending Customer Suits- Clarks Summit, PA
Heath Goldstein-Western International Securities Broker-Three prior and Six Pending Customer Suits- Clarks Summit, PA 150 150 ER

Heath Goldstein Investigation   April 2023-Clarks Summit, PA According to publicly available records Heath Gary Goldstein,  a broker employed by Western International Securities discloses $821,209 in final customer disputes and multiple pending customer…

read more
Enter your
text here
Verified by MonsterInsights