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Ignacio Erhart Del Campo- Former Insigneo Securities Broker- Sanctioned for Making Trades in Deceased Customer’s Account – Montevideo, Uruguay
Ignacio Erhart Del Campo- Former Insigneo Securities Broker- Sanctioned for Making Trades in Deceased Customer’s Account – Montevideo, Uruguay 150 150 ER

Ignacio Erhart Del Campo Investigation March 2022- Montevideo, Uruguay The FINRA records of Ignacio Erhart Del Campo  , a former stockbroker who was last employed by Insigneo Securities. , discloses 2 regulatory events and a…

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Chuck Cox-Raymond James Broker-Discloses Prior Customer Dispute and Customer Dispute -Federal Way, WA
Chuck Cox-Raymond James Broker-Discloses Prior Customer Dispute and Customer Dispute -Federal Way, WA 150 150 ER

Charles (Chuck) Arthur Cox Investigation March 2022- Federal Way, WA According to publicly available records  Chuck Cox , a stockbroker registered with Raymond James Financial Services Advisors, Inc. discloses a…

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Dawn Marie Collum- Ameriprise Broker- Discloses Customer Dispute -Kerrville, TX
Dawn Marie Collum- Ameriprise Broker- Discloses Customer Dispute -Kerrville, TX 150 150 Robert Rex, Esq.

Dawn M. Collum Investigation February 2022- Kerrville, Texas According to publicly available records,  Dawn M. Collum , a broker with Ameriprise Financial in Kerrville, Texas,  discloses a  customer complaint. The Financial Industry…

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Nicholas Palumbo-Former Park Avenue Securities Broker-Barred From Securities Industry-Armonk, NY
Nicholas Palumbo-Former Park Avenue Securities Broker-Barred From Securities Industry-Armonk, NY 150 150 ER

Nicholas Palumbo Investigation December 2021- Armonk, NY According to publicly available records Nicholas R. Palumbo,  a  former stockbroker who last worked for Park Avenue Securities discloses that he has been sued by…

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  • Robert Rex, Esq.

William (Billy) Busch-Former Morgan Stanley Broker-Settles Customer Suit Over Unsuitable Investments-Austin,TX
William (Billy) Busch-Former Morgan Stanley Broker-Settles Customer Suit Over Unsuitable Investments-Austin,TX 150 150 Robert Rex, Esq.

William (Billy) Busch Investigation December 2021 – Austin, TX According to publicly available records  William (Billy) D. Busch , a stockbroker who was previously registered with Morgan Stanley & Co. discloses  the…

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  • Robert Rex, Esq.

Jesus Rodriguez- Morgan Stanley Broker- Barred from Industry by Securities Regulator-El Paso, TX
Jesus Rodriguez- Morgan Stanley Broker- Barred from Industry by Securities Regulator-El Paso, TX 150 150 Robert Rex, Esq.

Jesus Rodriguez Investigation December 2021- El Paso, TX According to publicly available records,  Jesus Rodriguez, a former broker who last worked for Morgan Stanley discloses 5 recent customer complaints alleging  misappropriation of…

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  • Robert Rex, Esq.

Sanders Spangler Investigation-Former LPL Financial Broker-Barred From Securities Industry & Settles Customer Suits-San Antonio, TX
Sanders Spangler Investigation-Former LPL Financial Broker-Barred From Securities Industry & Settles Customer Suits-San Antonio, TX 150 150 Robert Rex, Esq.

Sanders Spangler Investigation November 2021-San Antonio, Texas The FINRA records of  Sanders L. Spangler ,   a  former stockbroker who was once employed by  LPL Financial  disclose a regulatory matter, 6 prior customer disputes…

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  • Robert Rex, Esq.

Attention GPB Capital Investors-How to Recover Your Losses
Attention GPB Capital Investors-How to Recover Your Losses 150 150 Robert Rex, Esq.

How to Recover Losses on GPB Funds November 2021 GPB Alleged to be a Ponzi-Like Scheme GPB raised over $1.8 billion in high risk private placements that were sold to…

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Eric Hollifield Investigation-Former LPL Financial Advisor Subject of $1.24 Million Suit-Ducala, GA
Eric Hollifield Investigation-Former LPL Financial Advisor Subject of $1.24 Million Suit-Ducala, GA 150 150 ER

Eric Hollifield Investigation November 2021-Ducala, GA According to FINRA records  Eric S. Hollifield, an unregistered financial advisor previously employed by LPL Financial discloses a multi-million dollar suit by a customer…

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Margaret Suite-Arnold -FSC Securities Broker- Discloses Pending Customer Dispute-China Grove, NC
Margaret Suite-Arnold -FSC Securities Broker- Discloses Pending Customer Dispute-China Grove, NC 150 150 ER

Margaret Suite-Arnold Investigation November 2021-China Grove, NC According to FINRA records  Margaret Suite-Arnold, a financial advisor employed as a registered broker by FSC Securities Corporation  discloses a pending customer dispute.…

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