Jericho, New York
According to FINRA records, Leigh M. Garber , a stockbroker who formerly worked for Ridgeway & Conger discloses a pending regulatory matter and a prior final regulatory matter.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In January 2016, FINRA name Leigh Garber in a complaint alleging that her firm and two other representatives sold an unregistered security. Garber was the designated supervisor and failed to supervise. The complaint alleges that the firm charged excessive markups of 14-33%. FINRA Case 2010022046101. That matter is currently pending.
Garber is currently employed by Adirondack Trading of New Woodstock, NY, and National Securities Corporation of New Woodstock, NY, and Boca Raton, FL.
Investors with losses in accounts handled by Leigh M. Garber may be able to recover damages from his former employer through FINRA arbitration.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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