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

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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

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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

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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

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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

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