Waddell & Reed investigation

  • Robert Rex, Esq.

Neal Moon-Former Waddell & Reed Broker-Discloses Settlement and Termination from Employment-Dallas, TX
Neal Moon-Former Waddell & Reed Broker-Discloses Settlement and Termination from Employment-Dallas, TX 150 150 Robert Rex, Esq.

April 2017-Dallas, TX  According to publicly available records Neal Charles Moon, (CRD#3271716) ,  a  stockbroker who is not currently registered and who last was employed by  Waddell & Reed  discloses a prior regulatory event, a prior…

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  • Robert Rex, Esq.

William F. Albin-former Waddell & Reed Broker-Discloses Discharge
William F. Albin-former Waddell & Reed Broker-Discloses Discharge 150 150 Robert Rex, Esq.

July 2016- Las Vegas, NV According to publicly available records William F. Albin , (CRD# 1744984) ,  a  stockbroker who is currently unregistered discloses that he was discharged from Waddell & Reed, Inc. in July…

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  • Robert Rex, Esq.

Dominic DeBruin-Former LPL Financial Broker-Barred From Securities Industry
Dominic DeBruin-Former LPL Financial Broker-Barred From Securities Industry 150 150 Robert Rex, Esq.

November 2016-Mesa, AZ The FINRA records of  Dominic T. DeBruin,  a  former stockbroker with LPL Financial,  disclose that he has been permanently barred from acting as a broker or otherwise associating with…

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  • Robert Rex, Esq.

Paul Jacobs-Former Caldwell Securities Broker-Discloses Regulatory Action-Austin, TX
Paul Jacobs-Former Caldwell Securities Broker-Discloses Regulatory Action-Austin, TX 150 150 Robert Rex, Esq.

October 2017-Austin, Texas According to FINRA records,  Paul Jacobs,   a stockbroker who is currently  employed by Cape Securities, discloses  a prior regulatory sanction . The Financial Industry Regulatory Authority (FINRA) is the agency that licenses…

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  • Robert Rex, Esq.

Ryan Boggs-Former Broker With MNR Executions-Discloses Receipt of Wells Notice
Ryan Boggs-Former Broker With MNR Executions-Discloses Receipt of Wells Notice 150 150 Robert Rex, Esq.

Chicago, IL UPDATE AUGUST 2016– According to public records, Ryan Boggs is named in Case #16-0023/ 20150459600 filed by the Chicago Board of Options Exchange alleging that Boggs, on behalf…

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  • Robert Rex, Esq.

Jason L. Freiwald-Waddell & Reed Broker-Discloses $541K Customer Complaint
Jason L. Freiwald-Waddell & Reed Broker-Discloses $541K Customer Complaint 150 150 Robert Rex, Esq.

Chandler, AZ According to FINRA records, Jason L. Freiwald ,  a broker who is currently registered  with Waddell & Reed , discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…

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  • Robert Rex, Esq.

Steven Ridgley, Waddell & Reed Broker, Sanctioned for Unauthorized Trading
Steven Ridgley, Waddell & Reed Broker, Sanctioned for Unauthorized Trading 150 150 Robert Rex, Esq.

March 23, 2016-Louisville, KY Steven D. Ridgley  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  while employed by Waddell…

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