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Rex Securities Law Investment Fraud Attorney Investigates Kestra Investment Services Broker Andrew Ciccone
Last Updated: June 2025 – Austin, TX Here’s what you need to know about Austin, TX, stockbroker Andrew Ciccone: Name: Andrew John Ciccone CRD Number: 6864958 Current Employer: Kestra Investment Services, LLC Prior Employers: Charles Schwab & Co., Inc.; TD Ameritrade, Inc.; TD Ameritrade Clearing, Inc. Function: Stockbroker / Financial Advisor Primary Location: Austin, TX Can Andrew Ciccone be…
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Rex Securities Law Investment Fraud Attorney Investigates Raymond James Financial Services Formerly a Broker H. Todd Roggen
Last Updated: June 2025 – Houston, TX Here’s what you need to know about Houston, TX, stockbroker Todd Roggen: Name: H. Todd Roggen CRD Number: 721463 Current Employer: OneSeven (RIA), MGO OneSeven DBA: HTR Wealth Management Prior Employers: Raymond James Financial Services, Inc.; UBS Financial Services Inc.; First Union Securities, Inc.; Prudential Securities; Cowen & Co. Function: Stockbroker…
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Rex Securities Law Investment Fraud Attorney Investigates Portsmouth Financial Services Former Broker Mark D’Ercole
Last Updated: June 2025 – San Francisco, CA Here’s what you need to know about San Francisco, CA, stockbroker Mark Andrew D’Ercole: Name: Mark Andrew D’Ercole CRD Number: 820220 Current Status: Not currently registered with any FINRA-member firm Prior Employers: Portsmouth Financial Services (purchased by Arete Wealth in May 2024); Greenbook Securities, Inc.; Robert Van Securities, Inc. Other…
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Rex Securities Law Investment Fraud Attorney Investigates Newbridge Securities Corporation Formerly a Broker Paul Hunter Battson
Last Updated: June 2025 – Boca Raton, FL Here’s what you need to know about Boca Raton, FL, former stockbroker Paul Battson: Name: Paul Hunter Battson CRD Number: 4256820 Current Status: Not currently registered with any FINRA-member firm Prior Employers: Newbridge Securities Corporation, Stoever Glass & Company Inc., Northwestern Mutual Investment Services, LLC Function: Stockbroker / Financial…
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Rex Securities Law Investment Fraud Attorney Investigates Morgan Stanley Broker Maury Edward Lomax
Last Updated: June 2025 – Mobile, AL Here’s what you need to know about Mobile, AL, stockbroker Maury Lomax: Name: Maury Edward Lomax CRD Number: 4389255 Current Employer: Morgan Stanley Primary Location: Mobile, AL Function: Stockbroker / Financial Advisor Previously Registered With: Citigroup Global Markets Inc.; Morgan Stanley & Co. Incorporated; Morgan Stanley DW Inc. Can Maury Lomax be sued…
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FBI Warns Americans of Elder Fraud
June 2025 (El Paso, Texas) Federal Bureau of Investigation Offers Advice on Avoiding Elder Abuse Fraud In anticipation of World Elder Abuse Awareness Day on 6/15/25, the FBI El Paso Public Affairs Office issued a press release warning the public of scams and financial fraud schemes targeting senior citizens. Popular schemes include: Investment Scams Technical/Customer Support Schemes Money…
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Rex Securities Law Investment Fraud Attorney Investigates LPL Financial Broker Formerly Jason Mitsuda
Jason Mitsuda Investigation Summary Last Updated: June 2025 Here’s what you need to know about Honolulu, HI, financial advisor Jason Mitsuda: Name: Jason Kazuo Mitsuda Current Employer:Not Currently Registered with FINRA Prior Employers: LPL Enterprise, Equitable Advisors, Pruco Securities, Cetera Investment Services Other Business Activities: Apparent, Inc. – Commercial solar water heating…
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Rex Securities Law Investment Fraud Attorney Investigates Osaic Wealth Broker Kevin Kuehn
Last Updated: June 2025 Kevin Kuehn Investigation Summary Here’s what you need to know about San Ramon, CA/ Eagle, ID – based broker Kevin C. Kuehn: Name: Kevin C. Kuehn Current Employer:Osaic Wealth, Inc. Former Employer:Lincoln Financial Advisors Corp. Alias:C. Kuehn CRD Number:4875040 Can he be sued in FINRA arbitration:Yes Pending Customer Dispute Seeks Damages of :$200,000 Did You Lose…
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Rex Securities Law Investment Fraud Attorney Investigates Wells Fargo Advisors Broker Philip Jefferson
Last Updated: May 2025 – King, North Carolina Here’s what you need to know about King, NC stockbroker Philip Jefferson: Name: Mr. Philip Kirby Jefferson Current Employer: Wells Fargo Advisors / Wells Fargo Clearing Services, LLC Prior Employers: SunTrust Investment Services, Inc., NCF Financial Services, Inc., Invest Financial Corporation Function: Stockbroker / Financial Advisor Primary…
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Rex Securities Law Investment Fraud Attorney Investigates Ceros Financial Services Broker Joseph Tranchina
Last Updated: May 2025 – Holmdel, NJ Here’s what you need to know about Holmdel, NJ stockbroker Joseph L. Tranchina: Name: Mr. Joseph L. Tranchina Current Employer: Suspended by FINRA 6/2/2025-11/1/2025 DBA: J. Tranchina, Inc. – bookkeeping Prior Employers: Ceros Financial Services, Spartan Capital Securities, LLC; Worden Capital Management LLC; Legend Securities, Inc. Function: Stockbroker /…
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Rex Securities Law Investment Fraud Attorney Investigates UBS Financial Services Broker Jarrett Strickland
Last Updated: May 2025 – Charleston, SC Here’s what you need to know about Charleston, SC, stockbroker Jarrett Keith Strickland: Name: Mr. Jarrett Keith Strickland Current Employer: UBS Financial Services Inc. Primary Location: Charleston, SC Branch Office: 941 Houston Northcutt Blvd, Mount Pleasant, SC 29464 Prior Employers: Investacorp, Jackson National Life Distributors CRD…
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Rex Securities Law Investment Fraud Attorney Investigates The Strategic Financial Alliance Broker Mike Roberts
Last Updated: June 2025 – Gilbert, Arizona Here’s what you need to know about Gilbert, AZ, stockbroker Michael D. Roberts: Name: Mr. Michael David Roberts CRD Number: 4700058 Current Employer: The Strategic Financial Alliance, Inc. Prior Employers: Triad Advisors LLC, Centaurus Financial Inc., JP Turner & Company, Brookstreet Securities, Raymond James Financial Services Function: Stockbroker /…
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Rex Securities Law Investment Fraud Attorney Investigates Raymond James Financial Services Broker John Larsen
Last Updated: June 2025 – Scottsdale, AZ Here’s what you need to know about Scottsdale, AZ stockbroker John Larsen: Name: Mr. John Larsen Current Employer: Raymond James Financial Services, Inc. and Raymond James Financial Services Advisors, Inc. DBA: Larsen Wealth Management Prior Employers: Raymond James & Associates, Inc.; Edward Jones; American Express Financial Advisors Inc.; IDS Life…
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Rex Securities Law Investment Fraud Attorney Investigates Private Client Services and RFG Advisory LLC Broker Ahmad Quqa
Last Updated: June 2025 — Cary, NC Here’s what you need to know about Cary, NC, stockbroker Ahmad Quqa: Name: Mr. Ahmad M. Quqa Current Employers: Private Client Services, LLC RFG Advisory, LLC Prior Employer: Edward Jones DBA: Crescent Private Wealth Function: Stockbroker / Registered Investment Advisor CRD Number: 6737928 Aliases: Ahmad Quqa Primary Location: Cary, North Carolina Can Ahmad…
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Rex Securities Law Investment Fraud Attorney Investigates Merrill Lynch, Pierce, Fenner & Smith Broker Formerly Larry Hyatt Jr.
Last Updated: June 2025 – Salem, OR Here’s what you need to know about Salem, OR, stockbroker Larry Leon Hyatt Jr.: Name: Larry Leon Hyatt Jr. CRD #: 1506954 Current Employer: Not currently registered as a broker or as a registered investment advisor. Most Recent Employer: Merrill Lynch, Pierce, Fenner & Smith Incorporated Other Prior Employers: J.P. Morgan Securities LLC, Chase Investment…
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Rex Securities Law Investment Fraud Attorney Investigates Edward Jones Broker Ramona Ivy
Last Updated: June 2025 – Marina del Rey, CA Here’s what you need to know about Marina del Rey, CA, stockbroker Ramona Ivy: Name: Ms. Ramona Ivy Current Employer: Edward Jones Previously Employed By: State Farm Insurance Agency (2008–2018) CRD Number: 7083803 Alias: Ramona Ivy Bragg, Ramona Ivy Jackson, Ramona Ivy Smith Function: Stockbroker / Financial Advisor Can Ramona Ivy be Sued in FINRA…
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Rex Securities Law Investment Fraud Attorney Investigates LPL Financial Former Broker Doran James
Last Updated: June 2025 – Rock Springs, WY Here’s what you need to know about Rock Springs, WY, stockbroker Doran C. James: Name: Mr. Doran Calvin James Current Employers: J.W. Cole Advisors, Inc. and J.W. Cole Financial, Inc. DBA: Wyoming Wealth Management , LLC Prior Employers: LPL Financial LLC, Morgan Stanley, Citigroup Global Markets, Lehman Brothers, E.F. Hutton Function: Stockbroker /…
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