stockbroker malpractice

  • ER

George W. Fellows, Jr. -Former Merrill Lynch Broker-Discloses Regulatory Event, Settlement of Customer Dispute and Termination-Washington, DC
George W. Fellows, Jr. -Former Merrill Lynch Broker-Discloses Regulatory Event, Settlement of Customer Dispute and Termination-Washington, DC 150 150 ER

George Fellows Investigation January 2024- Washington, DC The FINRA records of  George W. Fellows, Jr.,   a former Merrill Lynch broker,  disclose a regulatory event,  a settled customer dispute and a termination.…

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  • ER

Kenneth A. Luccioni-Former Triad Advisor Broker-Settles Multiple Suits Involving Over-concentration of Oil & Gas Investments-Park Ridge, IL
Kenneth A. Luccioni-Former Triad Advisor Broker-Settles Multiple Suits Involving Over-concentration of Oil & Gas Investments-Park Ridge, IL 150 150 ER

Kenneth A. Luccioni Investigation January 2024-Park Ridge, IL The FINRA records of Kenneth A. Luccioni,  a former stock broker who was last employed in the industry by Triad Advisors, Inc. ,…

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  • Robert Rex, Esq.

Former Customer of H. Beck ( now called Grove Point Investments) Broker Rick Poston-Brings $300K Suit For Unsuitable Alternative Investments-Plano, TX
Former Customer of H. Beck ( now called Grove Point Investments) Broker Rick Poston-Brings $300K Suit For Unsuitable Alternative Investments-Plano, TX 150 150 Robert Rex, Esq.

January 2024-Plano, TX  The FINRA records of  Richard  (“Rick”) E. Poston ,  a  stockbroker who last worked for H. Beck (now known as Grove Point Investments) in Plano, TX, discloses a pending…

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  • Robert Rex, Esq.

William Gordon-Kovack Securities Broker-Discloses12 Customer Suits-Clearwater, FL
William Gordon-Kovack Securities Broker-Discloses12 Customer Suits-Clearwater, FL 150 150 Robert Rex, Esq.

January 2024 – Clearwater, FL According to publicly available records  William B. Gordon  (CRD# 2127800) ,  a   registered stockbroker currently employed by Kovack Securities  disclose a prior regulatory event and 12 prior…

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Ivan Shore-Oppenheimer & Co. Broker-Discloses Regulatory Event & Suspension-New York, NY
Ivan Shore-Oppenheimer & Co. Broker-Discloses Regulatory Event & Suspension-New York, NY 150 150 ER

Ivan Shore Investigation January 2024- New York, NY According to his FINRA record  Ivan Shore , a broker employed by Oppenheimer & Co. discloses a final regulatory investigation event and…

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John Kevin Egan- Former Western International Securities Broker-Discloses 4 Customer Disputes Seeking More Than $500,000-Glendora, CA
John Kevin Egan- Former Western International Securities Broker-Discloses 4 Customer Disputes Seeking More Than $500,000-Glendora, CA 150 150 ER

John Egan Investigation January 2024– Glendora, CA According to publicly available records John Kevin Egan  an unregistered broker previously employed by Western International Securities,  discloses 4 pending customer disputes and 3…

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Kennister Daley-Allstate Financial Services Broker- Discloses Settlement of Non Traded REIT Customer Dispute- Boynton Beach, FL
Kennister Daley-Allstate Financial Services Broker- Discloses Settlement of Non Traded REIT Customer Dispute- Boynton Beach, FL 150 150 ER

Kennister Daley  Investigation September 2022- Boynton Beach, FL  According to publicly available records,  Kennister U. Daley,  an Allstate Financial Services broker discloses settlement of a  customer dispute. The Financial Industry…

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  • Robert Rex, Esq.

Jason Jaynes-Former Merrill Lynch Advisor-Settles Customer Disputes for $4.85 Million-Plano, Texas
Jason Jaynes-Former Merrill Lynch Advisor-Settles Customer Disputes for $4.85 Million-Plano, Texas 150 150 Robert Rex, Esq.

Jason R. Jaynes Investigation January 2024-Plano, TX According to publicly available records Jason R. Jaynes  ,  a  stockbroker who was previously registered with Merrill Lynch, discloses settlement of a customer dispute which…

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  • ER

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 Updated December 2023 Former JP Turner & Centaurus Customers Have Sued for Damages-Sold Variable Interest Rate Structured ProductsLexington, SC The FINRA records of Ricky Alan Mantei, currently employed…

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