Broker Disclosing Outstanding Liens/Judgments Archives - Page 6 of 12

Rex Securities Law
August 30, 2017
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Ernest Romer III-Former CoreCap Investments Broker-Alleged to Have Stolen Funds from Securities Customers-Sterling Heights, MI

Ernest Romer III-Former CoreCap Investments Broker-Alleged to Have Stolen Funds from Securities Customers-Sterling Heights, MI https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 30, 2017 April 27, 2018

APRIL 2018 UPDATE–The FINRA record of Ernest Romer III now discloses 15 pending customer disputes and 5 prior final customer disputes and 2 pending investigations. The investigations by Michigan Department…

Rex Securities Law
June 22, 2017
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Trevor M. Carney-Former Axiom Capital Management Broker-Sanctioned by Texas Regulator-Austin, TX

Trevor M. Carney-Former Axiom Capital Management Broker-Sanctioned by Texas Regulator-Austin, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 22, 2017 June 22, 2017

JUNE 2017- Austin, Texas According to publicly available records Trevor M. Carney (CRD#5657735) , a stockbroker who is employed by Ascendant Alternative Strategies, discloses a recent regulatory event and two outstanding judgment/liens. The Financial…

Rex Securities Law
June 22, 2017
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John J. Gorman IV-Former Tejas Securities Group Broker-Discloses Regulatory Matter-Austin, TX

John J. Gorman IV-Former Tejas Securities Group Broker-Discloses Regulatory Matter-Austin, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 22, 2017 June 22, 2017

June 2017- Austin, TX According to publicly available records John J. Gorman IV (CRD#1070636) , a stockbroker who is currently unregistered disclose a currently pending regulatory matter, 3 prior regulatory events, 2…

Rex Securities Law
June 16, 2017
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Scott D. Offerman-Former Concorde Investment Services Broker-Discloses Termination from Employment/ Liens-New York

Scott D. Offerman-Former Concorde Investment Services Broker-Discloses Termination from Employment/ Liens-New York https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 16, 2017 June 16, 2017

June 2017- New York According to publicly available records Scott David Offerman (CRD#4619093) , a stockbroker who currently is employed by Sandlapper Securities , discloses a termination from employment and 9 outstanding judgment/liens. The…

Rex Securities Law
May 23, 2017
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Nicholas Toadvine – Former Investors Capital Corp. Broker- Discloses 12 Prior Final Customer Disputes – Lakeland, FL

Nicholas Toadvine – Former Investors Capital Corp. Broker- Discloses 12 Prior Final Customer Disputes – Lakeland, FL https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 23, 2017 May 23, 2017

May 2017- Lakeland, FL According to publicly available records Nicholas S. Toadvine, (CRD#3260858) , a stockbroker who was previously registered with Investors Capital Corp. discloses 12 prior final customer disputes. The Financial Industry Regulatory Authority (FINRA) is the…

Rex Securities Law
May 9, 2017
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George B. Medina-CV Brokerage Inc Broker-Discloses Termination From Employment-New York

George B. Medina-CV Brokerage Inc Broker-Discloses Termination From Employment-New York https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 9, 2017 June 10, 2021

May 2017-New York The FINRA records of George B. Medina , a stockbroker who is currently registered with CV Brokerage Inc. disclose a termination from employment and outstanding judgment/liens . The Financial Industry Regulatory Authority (FINRA) is…

Rex Securities Law
April 14, 2017
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Steven P. Sappington-G.A. Repple Broker-Discloses Financial Events and Customer Dispute-Waco, TX

Steven P. Sappington-G.A. Repple Broker-Discloses Financial Events and Customer Dispute-Waco, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 14, 2017 April 14, 2017

April 2017-Waco, Texas The FINRA records of Steven P. Sappington , a stockbroker who is currently registered with G.A. Repple disclose a prior customer dispute, 3 pending financial events and 2 prior financial events.…

Rex Securities Law
April 12, 2017
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Jeffrey L. Offen-Craft Capital Management Broker-Discloses Customer Disputes & Judgements-Garden City, NY

Jeffrey L. Offen-Craft Capital Management Broker-Discloses Customer Disputes & Judgements-Garden City, NY https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 12, 2017 February 18, 2019

February 2019- Garden City, NY According to publicly available records Jeffrey L. Offen , (CRD# 2893980) , a stockbroker who is not currently employed as a stockbroker and who was last employed by Craft Capital…

Rex Securities Law
April 12, 2017
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Gary Edward Morse-Former Celadon Financial Group Broker-Discloses Tax Liens-Boca Raton, FL

Gary Edward Morse-Former Celadon Financial Group Broker-Discloses Tax Liens-Boca Raton, FL https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 12, 2017 March 26, 2018

MARCH 2018 UPDATE–Gary E. Morse left Celadon Financial Group 8/2017 and is currently registered with Precision Securities. His FINRA records disclose currently outstanding liens owed to the Internal Revenue Service…