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Tag Archives: Discloses
Raymond Clark – Woodstock Financial Group Broker- Discloses Customer Disputes-Staten Island, NY
Rex Securities Law- Stockbroker Malpractice Attorney. Nationwide representation. January 2019-Staten Island, NY According to publicly available records Raymond William Clark , a stockbroker who is currently registered with Woodstock Financial Group, disclose 8 prior customer disputes and a termination from employment. The … Continue reading
Posted in Securities Law
Tagged Broker, Clark, Customer, Discloses, DisputesStaten, Financial, group, Island, Raymond, woodstock
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Bradley Scott-LPL Financial Broker- Discloses $1.4 Million Customer Settlement- Mansfield, TX
Rex Securities Law- Stockbroker Malpractice Attorney. Nationwide representation. November 2018-Mansfield, TX According to publicly available records Bradley Kyle Scott , (CRD# 4381014) , a stockbroker who currently employed by LPL Financial who was previously registered with Southwest Securities, Inc., (now Hilltop Securities) disclose … Continue reading
Posted in Securities Law
Tagged $1.4, Bradley, Broker, Customer, Discloses, Financial, Mansfield, million, ScottLPL, Settlement
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Celia Mae Scott-LPL Financial Broker- Discloses Settlement of Customer Dispute-Beaumont, TX
Rex Securities Law- Stockbroker Malpractice Attorney. Nationwide representation. November 2018-Beaumont, TX According to publicly available records Celia Mae Scott , (CRD# 2870484) , a stockbroker who was previously registered with AXA Advisors, disclose the settlement of a customer dispute . The Financial Industry … Continue reading
Posted in Securities Law
Tagged Broker, Celia, Customer, Discloses, DisputeBeaumont, Financial, ScottLPL, Settlement
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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
Posted in Securities Law
Tagged Blumenschein, Broker, Brookfield, Corp., Customer, Discloses, dispute, Event, Former, freedom, Investors, Joel, Regulatory
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Bill Fenwick-First Kentucky Securities Corp. – Discloses $20M Customer Dispute-Louisville, KY
April 2018-Louisville, KY The FINRA records of William C. (Billy) Fenwick Jr. , Senior VP and Board member of First Kentucky Securities Corporation disclose two pending customer disputes and a prior final customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses … Continue reading
Posted in Securities Law
Tagged $20M, Bill, Corp., Customer, Discloses, DisputeLouisville, FenwickFirst, Kentucky, Securities
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