Tag Archives: Broker

Joel Blumenschein – Former Freedom Investors Corp. Broker -Discloses a Regulatory Event and Customer Dispute- Brookfield, WI

Rex Securities Law- Stockbroker Malpractice Attorney. Nationwide representation. September 2018 – Brookfield, WI According to publicly available records Joel Blumenschein  (CRD#1372334) ,  a  stockbroker who formerly was registered with Freedom Investors Corp. ,  disclose a Regulatory Event and a pending customer dispute which alleges … Continue reading

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Broker Hector May Investigated For Possible Ponzi Scheme And Defrauding Clients of $3.4M

Hector May (CRD #323779) is a former registered broker and investment advisor, last employed with Securities America, Inc. (CRD #10205) of New York City. His previous employers include Prime Capital Services, Inc. (CRD #18334) of Poughkeepsie, NY, Equico Securities, Inc. … Continue reading

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FINRA Bars Broker Herbert Voss, Jr. After Allegations of Unauthorized Trading

Herbert Voss, Jr. (CRD #1014475) is a previously registered broker and investment advisor, whose was last registered with StockCross Financial Services, Inc. (CRD #6670) of Beverly Hills, CA. His previous employers include UBS Financial Services Inc. (CRD #8174), also of … Continue reading

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FINRA Bans Broker Ramon Herrera

Ramon Arturo Herrera (CRD #6021170) is a former registered broker and investment advisor, barred by FINRA. His last registered employer was Wells Fargo Clearing Services, LLC (CRD #19616) of Union City, NJ. A customer dispute was filed by a client’s … Continue reading

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FINRA Bars Broker John Maccoll After Fraud Allegations

Former UBS broker John Maccoll (CRD #839441) has been indefinitely barred from affiliation with any FINRA member in any capacity as of 07/02/2018. His most recent employer was UBS Financial Services Inc. (CRD #8174) of Birmingham, MI. Previously, he was … Continue reading

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