Tag Archives: BrokerSubject

John E. Egan-Newbridge Securities Broker-Subject of Customer Dispute Alleging Unsuitable Investments-Boca Raton, FL

Rex Securities Law-Nationwide representation of investors seeking recovery of losses due to stockbroker malpractice. April 2018 -Boca Raton, FL According to FINRA records, John Eugene Egan ,  a   stockbroker who is currently employed by Newbridge Securities Corp., disclose  a prior regulatory event, … Continue reading

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William M. Robertson-Former First Allied Securities Broker-Subject of $22M Customer Dispute-Deer Park, TX

April 2018- Deer Park, Texas According to FINRA records,  William M. Robertson , a currently unregistered broker who last worked for First Allied Securities, discloses a currently pending dispute in which a customer seeks damages of $22 million. The Financial Industry Regulatory … Continue reading

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Walt Parker-Titan Securities Broker-Subject of Numerous Customer Complaints-Regulatory Investigation-Rowlett, Texas

February 2018-Rowlett, Texas The FINRA records of  Walter (Walt) Parker ,  a  broker with  Titan Securities  disclose 2 pending customer disputes , 5 prior final customer disputes and a pending regulatory investigation. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and … Continue reading

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Thomas Bodensteiner-Former VSR Financial Services Broker-Subject of Customer Suit Over Losses in UDF IV-Clear Lake, IA

February 2018 – Clear Lake, Iowa The FINRA records of  Thomas W. Bodensteiner ,  a  stockbroker who was previously  employed by  VSR Financial Services  discloses a pending customer dispute . The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers … Continue reading

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Shaun Hayes-Former Merrill Lynch Broker-Subject of Mulitiple Customer Complaints Alleging Unauthorized Trading-Fort Worth, TX

January 2018-Fort Worth, TX  According to publicly available records Shaun Eugene Hayes ,  a  stockbroker who is currently unregistered and who last was employed by Merrill Lynch discloses 6 pending customer disputes alleging unauthorized trading and one prior customer dispute. The … Continue reading

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