stockbroker negligence

  • ER

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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  • Robert Rex, Esq.

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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  • 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 April 2024 – Needham, MA According to publicly available records  Angelo Anello ,  a broker with LPL Financial discloses a prior customer dispute and 2 pending customer disputes.…

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  • ER

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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  • Robert Rex, Esq.

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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  • ER

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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  • ER

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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  • Robert Rex, Esq.

Jon Ellefson – Intervest International Equities Broker-GWG L- Bond Suit – Harker Heights, TX
Jon Ellefson – Intervest International Equities Broker-GWG L- Bond Suit – Harker Heights, TX 150 150 Robert Rex, Esq.

Jon Ellefson & GWG L-Bond Investigation February 2024-Harker Heights, TX The FINRA records of Jonathan Eric Ellefson,  an  Intervest International Equities Corp.  broker was recently named in a FINRA arbitration by a…

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  • ER

Glenn Brandon – Former BB&T Securities Broker- Barred from FINRA-Birmingham, AL
Glenn Brandon – Former BB&T Securities Broker- Barred from FINRA-Birmingham, AL 150 150 ER

Glenn E. Brandon Investigation February 2024- Birmingham, AL The FINRA records of  Glenn Edward Brandon,  a former broker who was last  employed by  BB&T Securities disclose a final regulatory matter resulting…

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