stockbroker malpractice

Jason N. Anderson, Former LPL Financial Broker- Named in Unauthorized Trading/Churning Suit-Beaumont, TX

Jason N. Anderson, Former LPL Financial Broker- Named in Unauthorized Trading/Churning Suit-Beaumont, TX 150 150 Robert Rex, Esq.

April 2024 – Beaumont, Texas TEXAS STATE SECURITIES BOARD SUSPENSION-On January 30, 2018 Texas Securities State Securities Board (TSSB) Commissioner Travis J. Iles entered a Disciplinary Order  suspending Jason N. Anderson,…

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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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StoneX Financial Discloses Numerous Regulatory Sanctions

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

StoneX Financial Investigation April 2024 -Winter Park, FL According to FINRA records, StoneX Financial discloses 68 sanctions imposed by securities regulators in the United States as well as several other…

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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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Charles Kulch Investigation-NEXT FInancial/Investors Capital Broker-Nashua, NH

Charles Kulch Investigation-NEXT FInancial/Investors Capital Broker-Nashua, NH 150 150 Robert Rex, Esq.

  See this for March 2024 Update on former NEXT Financial Group Broker Charles Kulch   April 1, 2016- Nashua, New Hampshire FINRA records report that NEXT Financial Group stockbroker Charles…

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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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Securities Arbitration vs. Securities Mediation

Securities Arbitration vs. Securities Mediation 150 150 Robert Rex, Esq.

  The Financial Industry Regulatory Authority (FINRA) provides the following explanation of the difference between Arbitration and Mediation: “Overview Arbitration and mediation are two distinct ways of resolving securities and…

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Kimberley Nuessmann – Former Securities America Advisor Discloses a Regulatory Event-Redwood City, CA

Kimberley Nuessmann – Former Securities America Advisor Discloses a Regulatory Event-Redwood City, CA 150 150 ER

Kimberly Nuessmann Investigation February 2024 -Redwood City, CA Kimberly Nuessmann, an unregistered stockbroker who was previously registered with Securities America, Inc.  discloses a regulatory event on her FINRA record. The…

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Christine Warner-Monticello Financial Group Broker-Discloses Regulatory Suspension- Mount Pleasant, TX

Christine Warner-Monticello Financial Group Broker-Discloses Regulatory Suspension- Mount Pleasant, TX 150 150 ER

Christine Warner Investigation Feburary 2024-Mount Pleasant, TX According to publicly available records Christine Anne Warner, a Monticello Financial Group broker discloses a final regulatory matter. The Financial Industry Regulatory Authority (FINRA) is…

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