fbpx
Monthly Archives :

July 2016

Philip Brisard-Former Ridgeway & Conger Broker-Discloses Pending Regulatory Matter and Termination from Employment
Philip Brisard-Former Ridgeway & Conger Broker-Discloses Pending Regulatory Matter and Termination from Employment 150 150 Rex Securities Law

Jericho, New York According to FINRA records,  Philip Brisard ,   a stockbroker who formerly worked for  Ridgeway & Conger   discloses a pending regulatory matter, 4 final customer disputes and a termination from employment. The Financial Industry…

read more

Mark A. Stanczyk-Former Pinnacle Investments Broker-Discloses Customer Dispute
Mark A. Stanczyk-Former Pinnacle Investments Broker-Discloses Customer Dispute 150 150 Rex Securities Law

Manilus, New York According to FINRA records,  Mark A. Stanczyk ,   a stockbroker who currently works for  Leigh Baldwin & Co.   discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that…

read more

Marcus Schrenker-Fraudster Who Faked Death-Featured in Financial Fraud Documentary
Marcus Schrenker-Fraudster Who Faked Death-Featured in Financial Fraud Documentary 150 150 Rex Securities Law

Indianapolis The Times, www.NWI.com reports that Marcus Schrenker, a native of Merrillville who faked his own death in 2009 in an attempt to avoid state and federal  fraud investigations is…

read more

Tonya M. White-Former Edward Jones Broker-Permanently Barred From Securities Industry
Tonya M. White-Former Edward Jones Broker-Permanently Barred From Securities Industry 150 150 Rex Securities Law

Oklahoma City, OK According to FINRA records,  Tonya M. White (aka Tonya M. Nix)  ,   a stockbroker who formerly worked for Edward Jones  discloses a final regulatory matter and a separation from employment after…

read more

Michael A. Castillero-Former Alexander Capital Broker-Discloses Multiple Customer Disputes & Bar From Securities Industry
Michael A. Castillero-Former Alexander Capital Broker-Discloses Multiple Customer Disputes & Bar From Securities Industry 150 150 Rex Securities Law

New York APRIL 2019 UPDATE- Michael A. Castillero left Alexander Capital in 6/2017 and worked for Windsor Street Capital from 6/2017-10/2017. In 2/2019 he was permanently barred from the securities…

read more

Glen Rauch-Former Avenir Financial Broker-Accused of Harassment and Unauthorized Trading
Glen Rauch-Former Avenir Financial Broker-Accused of Harassment and Unauthorized Trading 150 150 Rex Securities Law

UPDATE SEPTEMBER 2016-FINRA named Glen J. Rauch in a complaint alleging that following his termination from registration(see below) he repeatedly sent abusive, obscene, intimidating and threatening messages to a principal of…

read more
Enter your
text here

This site is protected by wp-copyrightpro.com