• ER

Matthew Jennings- Former Edward Jones Broker- Permanently Barred from FINRA- Johnston, IA
Matthew Jennings- Former Edward Jones Broker- Permanently Barred from FINRA- Johnston, IA 150 150 ER

Matthew T. Jennings Investigation August 2021- St. Louis, MO According to publicly available records,  Matthew Thomas Jennings a broker previously employed with Edward Jones discloses a prior regulatory event, a termination…

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Dale Ramsperger – Former Securities America Broker- Discloses Regulatory Event and a Termination- Scottsdale, AZ
Dale Ramsperger – Former Securities America Broker- Discloses Regulatory Event and a Termination- Scottsdale, AZ 150 150 ER

Dale A. Ramsperger Investigation October 2021- Scottsdale, AZ According to publicly available records Dale Ramsperger,  a broker who last worked for  DMK Advisor Group and prior to that Securities America, …

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Robert Dennis Pearlman-Former NSC Financial Advisor-Has Customer Suits-Boca Raton, FL
Robert Dennis Pearlman-Former NSC Financial Advisor-Has Customer Suits-Boca Raton, FL 150 150 ER

Robert Pearlman Investigation October 2021-Boca Raton, FL According to publicly available records Robert Dennis Pearlman,  a  former stockbroker who was previously registered with National Securities Corporation, disclose 2 currently pending customer…

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  • Robert Rex, Esq.

Patrick Brown-Former Merrill Lynch Financial Advisor-Settles Customer Suit for $1.3M-Montgomery, AL
Patrick Brown-Former Merrill Lynch Financial Advisor-Settles Customer Suit for $1.3M-Montgomery, AL 150 150 Robert Rex, Esq.

Patrick L. Brown Investigation October 2021-Montgomery, AL According to publicly available records Patrick L. Brown ,  a  stockbroker who was previously registered with Merrill Lynch, discloses the recent resolution of a customer…

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  • Robert Rex, Esq.

NEXT Financial Group Fined by State and Federal Regulators-Houston, Texas
NEXT Financial Group Fined by State and Federal Regulators-Houston, Texas 150 150 Robert Rex, Esq.

NEXT Financial Group Investigation September 2021-Houston, TX Houston-based NEXT  Financial Group discloses 26 prior regulatory events, according to FINRA records. These regulatory sanctions include: July 2021-FINRA censured NEXT and assessed a…

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  • Robert Rex, Esq.

Noel Vincent-Former Investors Capital Corp/Madison Ave. Securities Broker-Subject of Numerous Customer Suits-Houston, TX
Noel Vincent-Former Investors Capital Corp/Madison Ave. Securities Broker-Subject of Numerous Customer Suits-Houston, TX 150 150 Robert Rex, Esq.

Noel Vincent Investigation-June 2021–Houston, Texas According to publicly available records Noel Ray Vincent, (CRD# 1370987) ,  a  stockbroker who is not currently registered , who formerly worked for Madison Avenue Securities and…

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Peter Ianace- Former Wells Fargo Broker-Subject of $18M Suit-Barred From Industry by Securities Regulator-Plano, TX
Peter Ianace- Former Wells Fargo Broker-Subject of $18M Suit-Barred From Industry by Securities Regulator-Plano, TX 150 150 ER

Peter Ianace Investigation-Plano, TX  The FINRA records of  Peter Ianace ,  a  former financial advisor who was last employed by  Wells Fargo Clearing Services, disclose a regulatory event and three customer…

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Thomas Stratton -Former World Choice Securities Broker-Barred from Securities Industry-Melbourne, FL
Thomas Stratton -Former World Choice Securities Broker-Barred from Securities Industry-Melbourne, FL 150 150 ER

Thomas Stratton Investigation September  2021 – Melbourne, FL According to publicly attained records, Thomas Ward Stratton, a stockbroker  who was last employed by World Choice Securities,  discloses a prior regulatory matter…

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  • Robert Rex, Esq.

Colorado Certified Financial Planners Disciplined by CFP Board- SEPTEMBER 2021 Update
Colorado Certified Financial Planners Disciplined by CFP Board- SEPTEMBER 2021 Update 150 150 Robert Rex, Esq.

Colorado Financial Planners Disciplined The list below, taken from the CFP board disciplinary page of their website in SEPTEMBER 2021, is a historical record of individuals from Colorado who have been disciplined by CFP Board…

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  • Robert Rex, Esq.

Georgia Certified Financial Planners Disciplined by CFP Board- SEPTEMBER 2021 Update
Georgia Certified Financial Planners Disciplined by CFP Board- SEPTEMBER 2021 Update 150 150 Robert Rex, Esq.

Georgia Financial Planners Disciplined The list below, taken from the CFP board disciplinary page of their website in SEPTEMBER 2021,  is a historical record of individuals from Georgia  who have been disciplined by…

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