stockbroker malpractice

  • Robert Rex, Esq.

Royal Alliance, Sagepoint, FSC, Woodbury, Triad, Securities America and Others Are Now Osaic Wealth
Royal Alliance, Sagepoint, FSC, Woodbury, Triad, Securities America and Others Are Now Osaic Wealth 150 150 Robert Rex, Esq.

“Osaic Wealth” Is The Rebrand for Eight Broker Dealers August 2023 According to recent press, Advisor Group, one of the…

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Curt Wilson- Former Securities America/ChangePath LLC Broker-Discloses $250K Settlement of Customer Dispute Involving Option Trading- Tulsa, OK
Curt Wilson- Former Securities America/ChangePath LLC Broker-Discloses $250K Settlement of Customer Dispute Involving Option Trading- Tulsa, OK 150 150 ER

Curt Wilson Investigation July 2023- Tulsa, OK The FINRA records of  Curtis “Curt” Wilson,   a currently unregistered broker who was previously…

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David Geake – Former Madison Ave/Ausdal Financial Broker- Barred from FINRA -Discloses Millions in Customer Settlements -Whiting, IN
David Geake – Former Madison Ave/Ausdal Financial Broker- Barred from FINRA -Discloses Millions in Customer Settlements -Whiting, IN 150 150 ER

David Geake Investigation July 2023 – Whiting, IN According to publicly available records  David Geake discloses 11 prior customer disputes…

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Gregory Sain – Former Stifel Nicolaus Broker- Discloses Prior Customer Settlements – Beverly Hills, CA
Gregory Sain – Former Stifel Nicolaus Broker- Discloses Prior Customer Settlements – Beverly Hills, CA 150 150 ER

Gregory Sain Investigation June 2023 – Beverly Hills, CA According to publicly available records  Gregory Sain ,  a broker  who was…

  • Robert Rex, Esq.

Centaurus Broker Atul Makharia Subject of Regulatory Sanctions/ Customer Complaints Over Sale of Variable Interest Rate Structured Products- Lexington, SC
Centaurus Broker Atul Makharia Subject of Regulatory Sanctions/ Customer Complaints Over Sale of Variable Interest Rate Structured Products- Lexington, SC 150 150 Robert Rex, Esq.

Atul Makharia Investigation Sold Variable Interest Rate Structured Products July 2023-Lexington, SC The FINRA records of Atul Makharia, currently employed by Centaurus…

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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 Former JP Turner & Centaurus Customers Have Sued for Damages-Sold Variable Interest Rate Structured Products July…

  • Robert Rex, Esq.

StoneX Financial Discloses Numerous Regulatory Sanctions
StoneX Financial Discloses Numerous Regulatory Sanctions 150 150 Robert Rex, Esq.

StoneX Financial Investigation July 2023 -Winter Park, FL According to FINRA records, StoneX Financial discloses 60 sanctions imposed by securities…

  • Robert Rex, Esq.

Madison Avenue Securities Fined By Texas Securities Regulators Over GPB Automotive Sales
Madison Avenue Securities Fined By Texas Securities Regulators Over GPB Automotive Sales 150 150 Robert Rex, Esq.

Texas Regulators Fine Madison Avenue Securities GPB Automotive Portfolio, LP    June 2023- Austin, Texas San Diego based Madison Avenue…

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Timothy Connor – LPL Financial Broker- Has Pending Customer Dispute -Redwood City, CA
Timothy Connor – LPL Financial Broker- Has Pending Customer Dispute -Redwood City, CA 150 150 ER

Timothy Connor Investigation June 2023 – Redwood City, CA According to publicly available records  Timothy Connor, of  LPL Financial , discloses a…

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