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Monthly Archives :

July 2016

Gregory T. Dean-Worden Capital Management Broker-Discloses Customer Complaints Alleging Churning
Gregory T. Dean-Worden Capital Management Broker-Discloses Customer Complaints Alleging Churning 150 150 Rex Securities Law

AUGUST 2019 UPDATE-Gregory Dean barred from securities industry by regulators for churning customer accounts. See this for more details.  UPDATE April 2018–Gregory Dean discloses additional customer disputes on his FINRA…

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Christos A. Kalatoudis-Former Worden Capital Broker-Discloses Regulatory Events & Pending Judgment/Liens
Christos A. Kalatoudis-Former Worden Capital Broker-Discloses Regulatory Events & Pending Judgment/Liens 150 150 Rex Securities Law

July 2016-Lake Success, New York The FINRA records of Christos A. Kalatoudis ,  a currently unlicensed stock broker who was last employed by Worden Capital Management, disclose  2 prior regulatory events,  4 prior finalized customer disputes and 2…

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Sperry R. Younger-NMS Capital Advisors Broker-Discloses Customer Dispute
Sperry R. Younger-NMS Capital Advisors Broker-Discloses Customer Dispute 150 150 Rex Securities Law

July 2016-New York The FINRA records of Sperry R. Younger ,  a stock broker who is currently employed by NMS Capital Advisors, LLC, disclose  a currently pending regulatory event, a currently pending customer dispute,  3 prior…

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Joseph C. Alexander-Sterne Agee Financial Broker-Discloses Customer Dispute
Joseph C. Alexander-Sterne Agee Financial Broker-Discloses Customer Dispute 150 150 Rex Securities Law

July 2016-Pell City, Alabama The FINRA records of Joseph C. Alexander ,  a stock broker who is currently employed by Sterne Agee Financial Services, disclose  a currently pending customer dispute and a prior finalized customer…

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Thomas J. Dailey-Sterne Agee Financial Broker-Discloses $500K Customer Dispute
Thomas J. Dailey-Sterne Agee Financial Broker-Discloses $500K Customer Dispute 150 150 Rex Securities Law

July 2016-Youngstown, Ohio The FINRA records of Thomas J. Dailey ,  a stock broker who is currently employed by Sterne Agee Financial Services, disclose  a currently pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is…

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William R. Pintaric-Former WRP Investments Broker-Discloses Customer Dispute-Youngstown, OH
William R. Pintaric-Former WRP Investments Broker-Discloses Customer Dispute-Youngstown, OH 150 150 Rex Securities Law

March 2019-Cuyahoga County, Ohio The FINRA records of William Richard Pintaric , (CRD 363876) a stock broker who is currently not registered and who previously worked for WRP Investments , disclose  2 prior regulatory events, a currently…

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Further Lane Securities Named In Regulatory Complaint for Excessive Markups on Bonds
Further Lane Securities Named In Regulatory Complaint for Excessive Markups on Bonds 150 150 Rex Securities Law

July 2016-New York The FINRA records of Further Lane Securities, L.P. ,  disclose a currently pending regulatory event and 2 prior regulatory events. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers…

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Chazon Stein-Former Primex Stock Broker-Discloses Permanent Bar from Securities Industry-Boca Raton, FL
Chazon Stein-Former Primex Stock Broker-Discloses Permanent Bar from Securities Industry-Boca Raton, FL 150 150 Rex Securities Law

July 2016-Boca Raton, Florida The FINRA records of Chazon Stein (also known as Chaz Stein, Chazoni Stein & Zoni Stein) , a  currently unlicensed stockbroker who last worked for  Primex , disclose a prior regulatory event and 2 prior…

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Barry G. Hartman-Former FSC Securities Broker-Discloses Settlement of Customer Complaints-Missoula, MT
Barry G. Hartman-Former FSC Securities Broker-Discloses Settlement of Customer Complaints-Missoula, MT 150 150 Rex Securities Law

Missoula, MT UPDATE MAY 2017-Former FSC Securities broker Barry Hartman discloses two additional pending customer disputes: In FINRA case #16-3685 a customer of FSC Securities alleges damages of $184,750 for…

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