• Robert Rex, Esq.

Securities Regulators List Top Investor Threats for 2023- Washington, D.C.
Securities Regulators List Top Investor Threats for 2023- Washington, D.C. 150 150 Robert Rex, Esq.

Top Investor Threats for 2023 Per NASAA  April 2023 The North American Securities Administrators Association (NASAA)represents state and provincial securities regulators in the United States, Canada and Mexico. According to…

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Suzanne Charrin- Former Woodbury Financial Services Broker-Barred From Securities Industry by Regulators -Greenwood, CO
Suzanne Charrin- Former Woodbury Financial Services Broker-Barred From Securities Industry by Regulators -Greenwood, CO 150 150 ER

Suzanne Charrin Investigation April 2023-Greenwood, CO  According to publicly available records Suzanne Charrin, a former broker who last worked for Woodbury Financial Services,  discloses a final regulatory matter resulting in a…

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Rex Securities Law Investment Fraud Attorney Investigates John N. Matson formerly with LPL Financial
Rex Securities Law Investment Fraud Attorney Investigates John N. Matson formerly with LPL Financial 150 150 ER

Last Updated: September 2023 (Manhattan Beach, CA ) John N. Matson Investigation Summary Here’s what you need to know about Manhattan Beach, CA , stockbroker John Matson: Name: Mr. John…

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  • Robert Rex, Esq.

Financial Adviser Christopher Burns Indicted For Fraud Scheme- Berkeley Lake , GA
Financial Adviser Christopher Burns Indicted For Fraud Scheme- Berkeley Lake , GA 150 150 Robert Rex, Esq.

Christopher Burns Charged With Stealing Millions  April 2023– Berkeley Lake, GA  According to a press release issued by the U S Attorney’s office for Northern District of Georgia, “He betrayed…

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Robinhood Financial to Pay up to $10.2M to Settle Regulator Claims- Austin, TX
Robinhood Financial to Pay up to $10.2M to Settle Regulator Claims- Austin, TX 150 150 ER

Texas State Securities Board Settlement with Robinhood Financial  April 2023– Austin, TX   The Texas State Securities Board (TSSB) has joined a multi-state settlement with Robinhood Financial which will pay…

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Caz Craffy- Former Monmouth Capital Management Broker-Barred From Securities Industry by Regulators – Morristown, NJ
Caz Craffy- Former Monmouth Capital Management Broker-Barred From Securities Industry by Regulators – Morristown, NJ 150 150 ER

Caz Craffy Investigation June 2023-Morristown, NJ According to publicly available records Caz Craffy, a former broker who last worked for Monmouth Capital Management,  discloses a final regulatory matter resulting in a…

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Daniel Pita-Former NYLife Securities Broker-Barred From Securities Industry by Regulators – Sunrise, FL
Daniel Pita-Former NYLife Securities Broker-Barred From Securities Industry by Regulators – Sunrise, FL 150 150 ER

Daniel Pita Investigation April 2023-Sunrise, FL According to publicly available records Daniel Pita , a former broker who last worked for NYLife Securities,  discloses a final regulatory matter resulting in a…

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Don Kowalsky- Cambridge Investment Research Broker-Discloses Disputes – Atlanta, GA
Don Kowalsky- Cambridge Investment Research Broker-Discloses Disputes – Atlanta, GA 150 150 ER

Donald Kowalsky Investigation April 2023- Atlanta, GA  The FINRA records of  Donald Kowalsky ,   a Cambridge Investment Research, Inc. broker discloses  3 prior customer disputes and a pending customer dispute. The…

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  • Robert Rex, Esq.

Jon Pyne-Berthel Fisher Financial Advisor Discloses Settlement of Customer Suits-Plymouth, MN
Jon Pyne-Berthel Fisher Financial Advisor Discloses Settlement of Customer Suits-Plymouth, MN 150 150 Robert Rex, Esq.

Jon Pyne Investigation April 2023 -Plymouth, MN Jonathan Todd Pyne (aka Jon Pyne )  ,a  stockbroker who is currently registered with Berthel Fisher & Co. Financial Services discloses 8 prior final…

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