• ER

Angelo Anello – LPL Financial Broker- Discloses Customer Disputes Over Structured Products-Needham, MA
Angelo Anello – LPL Financial Broker- Discloses Customer Disputes Over Structured Products-Needham, MA 150 150 ER

Angelo Anello Investigation June 2024 – Needham, MA According to publicly available records  Angelo Anello ,  a broker with LPL Financial discloses 3 prior customer disputes and one pending customer dispute.…

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  • Robert Rex, Esq.

Mark Augusta- Hilltop Securities Broker- 21 Customer Disputes, 2 Pending Customer Disputes and a Termination from Employment – Del Mar, CA
Mark Augusta- Hilltop Securities Broker- 21 Customer Disputes, 2 Pending Customer Disputes and a Termination from Employment – Del Mar, CA 150 150 Robert Rex, Esq.

June 2024 – Del Mar, CA According to publicly available records Mark Fred Augusta  (CRD#1333913) ,  a  stockbroker who is currently registered with Hilltop Securities, Inc.,  disclose  21 prior customer disputes, 2 pending customer…

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David Shane Simmons-Former Lincoln Financial Securities Broker-Convicted in Tax Shelter Scheme – Jefferson, NC
David Shane Simmons-Former Lincoln Financial Securities Broker-Convicted in Tax Shelter Scheme – Jefferson, NC 150 150 ER

David Shane Simmons Investigation April 2024-Jefferson, NC UPDATE: On April 25, 2024 the U.S. Department of Justice convicted two tax attorneys and former broker David Shane Simmons of conspiring to…

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  • Robert Rex, Esq.

Sean Brady-Former First Allied Securities Broker-Millions in Settlements Paid to Former Customers-St. Louis, MO
Sean Brady-Former First Allied Securities Broker-Millions in Settlements Paid to Former Customers-St. Louis, MO 150 150 Robert Rex, Esq.

April 2024- St. Louis, MO The FINRA records of  Sean Aaron Brady ,  a  former stock broker who is not currently registered and who was last employed by First Allied Securities ,  disclose  that he was…

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Bob Boschke- Former CFD Investments Broker-Discloses 3 Terminations From Employment-St. Germain, WI
Bob Boschke- Former CFD Investments Broker-Discloses 3 Terminations From Employment-St. Germain, WI 150 150 ER

Bob Boschke Investigation April 2024- St. Germain, WI The FINRA records of  Robert “Bob” Boschke,   a  stockbroker previously employed by  CFD Investments, Inc.  and LPL Financial disclose  two regulatory actions and 3…

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Bruce Amman- Former LPL Financial Broker-Suspended From Securities Industry by Regulators – Golden, CO
Bruce Amman- Former LPL Financial Broker-Suspended From Securities Industry by Regulators – Golden, CO 150 150 ER

Bruce Amman Investigation April 2024-Golden, CO According to publicly available records Bruce Amman, a former broker who last worked for LPL Financial,  discloses a final regulatory matter resulting in a one…

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Scott Bremus- Former LPL Broker- Discloses Customer Suit and Termination of Employment- Dacula, GA
Scott Bremus- Former LPL Broker- Discloses Customer Suit and Termination of Employment- Dacula, GA 150 150 ER

Scott Bremus Investigation April 2024- Dacula, GA According to publicly available records Scott Bremus,  a broker previously registered with LPL Financial discloses 2 regulatory events, 2 final customer disputes and…

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Robert Alvarez- International Assets Advisory Management Broker- Discloses Regulatory Event, Customer Disputes and Terminations From Employment – Metairie, LA
Robert Alvarez- International Assets Advisory Management Broker- Discloses Regulatory Event, Customer Disputes and Terminations From Employment – Metairie, LA 150 150 ER

Robert Alvarez Investigaton April 2024- Metairie, LA According to publicly available records,  Robert Alvarez,  a broker with International Assets Investment Management discloses a regulatory event , a currently pending customer dispute,…

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  • Robert Rex, Esq.

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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