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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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Sean Casterline-Former International Assets Advisory-Subject of Customer Claim for Damages- Maitland, FL
Sean Casterline-Former International Assets Advisory-Subject of Customer Claim for Damages- Maitland, FL 150 150 ER

Sean Casterline Investigation Updated December 2023 Maitland, FL According to publicly available records Sean Casterline a  stockbroker who was suspended for 18 months (1/2022-7/2023) and who last worked for Delta Securities Company …

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  • Robert Rex, Esq.

Kenneth New- Center Street Securities Broker-Facing Suit Over GWG L-Bond Losses – Merritt Island, FL
Kenneth New- Center Street Securities Broker-Facing Suit Over GWG L-Bond Losses – Merritt Island, FL 150 150 Robert Rex, Esq.

Kenneth New/Center State Securities/GWG L-Bond Investigation   Updated December 2023 Merritt Island, FL  According to publicly available records Kenneth J. New,  a broker currently employed by Arete Wealth Management,  discloses several…

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Brian Wurdermann- Former RBC Capital Markets Advisor- Barred From Industry by Securities Regulators -Discloses $1.8 Million Customer Suit -New York, NY
Brian Wurdermann- Former RBC Capital Markets Advisor- Barred From Industry by Securities Regulators -Discloses $1.8 Million Customer Suit -New York, NY 150 150 ER

Brian Wurdermann Investigation Updated December  2023 New York, NY According to publicly available records Brian Wurdermann a former broker who last worked for RBC Capital Markets,  discloses a regulatory matter resulting…

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Mark Cline – Former National Securities Corp. Broker-GWG L- Bond Suits – Wildwood, FL
Mark Cline – Former National Securities Corp. Broker-GWG L- Bond Suits – Wildwood, FL 150 150 ER

Mark Alan Cline & GWG L-Bond Investigation Updated December 2023 Wildwood, FL The FINRA records of Mark Allen Cline,  a former National Securities Corp.  broker discloses 18 settled prior suits and…

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  • Robert Rex, Esq.

Nick Giallourakis- Newbridge Securities Broker-Discloses Customer Disputes-Clearwater, FL
Nick Giallourakis- Newbridge Securities Broker-Discloses Customer Disputes-Clearwater, FL 150 150 Robert Rex, Esq.

Updated: December 2023 Clearwater, Florida Newbridge Securities broker Nicholas M.  Giallourakis  discloses 4 prior final customer disputes on his FINRA records. In 10.2023 a customer of Newbridge Securities was paid $14,999…

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  • Robert Rex, Esq.

Douglas L. Hodges-Former Hilltop Securities Broker-Discloses FINRA Suspension-Dallas, TX
Douglas L. Hodges-Former Hilltop Securities Broker-Discloses FINRA Suspension-Dallas, TX 150 150 Robert Rex, Esq.

  September 2023- Dallas, Texas According to publicly available records Douglas L. Hodges , (CRD# 4253217) ,  a  stockbroker who is not currently registered as a stockbroker and who was last  employed…

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  • Robert Rex, Esq.

Royal Alliance, Sagepoint, FSC, Woodbury, Triad, Securities America and Others Are Now Osaic Wealth
Royal Alliance, Sagepoint, FSC, Woodbury, Triad, Securities America and Others Are Now Osaic Wealth 150 150 Robert Rex, Esq.

“Osaic Wealth” Is The Rebrand for Eight Broker Dealers August 2023 According to recent press, Advisor Group, one of the largest networks of independent broker dealers with more that 11,000…

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Curt Wilson- Former Securities America/ChangePath LLC Broker-Discloses $250K Settlement of Customer Dispute Involving Option Trading- Tulsa, OK
Curt Wilson- Former Securities America/ChangePath LLC Broker-Discloses $250K Settlement of Customer Dispute Involving Option Trading- Tulsa, OK 150 150 ER

Curt Wilson Investigation FEBRUARY 2025 UPDATE-FOLLOW THIS LINK July 2023- Tulsa, OK The FINRA records of  Curtis “Curt” Wilson,   a currently unregistered broker who was previously employed with  Securities America , disclose…

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