Robert Li Investigation February 2025-Naperville, IL According to publicly available records Robert Li an LPL Financial broker, disclose pending customer disputes alleging unsuitable use of margin borrowing as a trading…
read moreJanuary 2025- Austin , Texas The Texas State Securities Board (TSSB) fined LPL Financial $450,000 and ordered a repurchase of certain securities sold to investors. In addition LPL agreed to…
read moreUpdated January 2025 Rex Securities Law is investigating Dempsey Lord Smith broker Jesse J. Griffin, Jr. of Palm City, Florida, in connection with the sale of various alternative investments including…
read moreWoodbury Financial Services Investigation WOODBURY FINANCIAL ACQUIRED BY OSAIC FINANCIAL – SEE LINK August 2024 The FINRA records of Woodbury Financial Services, disclose 22 final regulatory events, 8 prior customer disputes,…
read moreDavid Shane Simmons Investigation April 2024-Jefferson, NC UPDATE: On April 25, 2024 the U.S. Department of Justice convicted two tax attorneys and former broker David Shane Simmons of conspiring to…
read moreApril 2024 – Beaumont, Texas TEXAS STATE SECURITIES BOARD SUSPENSION-On January 30, 2018 Texas Securities State Securities Board (TSSB) Commissioner Travis J. Iles entered a Disciplinary Order suspending Jason N. Anderson,…
read moreChristine 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…
read moreFrancisco Valenzuela Investigation February 2024- Phoenix, AZ According to FINRA records, Francisco J. Valenzuela , a former broker who previously worked for Morgan Stanley , discloses 2 regulatory events, 4 prior…
read moreGustavo Miramontes Investigation February 2024 – Los Angeles, CA According to publicly available records Gustavo Miramontes, a stockbroker with Oppenheimer & Co., discloses 10 prior customer disputes, 5apending customer dispute…
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