fbpx

Excessive use of margin borrowing

Michael Polyakov- Westpark Capital Broker-Discloses Customer Disputes – Boca Raton, FL

Michael Polyakov- Westpark Capital Broker-Discloses Customer Disputes – Boca Raton, FL 150 150 Rex Securities Law

March 2018 – Boca Raton, FL According to publicly available records Michael Polyakov, (CRD# 734810) ,  a  stockbroker who is currently employed by Westpark Capital ,  disclose 3 prior settled customer disputes . The Financial Industry Regulatory Authority…

read more

Mitchell Yanow-Former Stifel Nicolaus Broker-Discharged Over Allegations He Used Customer Funds to Purchase Corvette-Boca Raton, FL

Mitchell Yanow-Former Stifel Nicolaus Broker-Discharged Over Allegations He Used Customer Funds to Purchase Corvette-Boca Raton, FL 150 150 Rex Securities Law

April 2019- Boca Raton, FL The FINRA records of Mitchell Toby Yanow  , a former stock broker disclose  that he was recently barred from the securities industry by FINRA, discharged by Stifel,…

read more

William M. Robertson-Former First Allied Securities Broker-Subject of $22M Customer Dispute-Deer Park, TX

William M. Robertson-Former First Allied Securities Broker-Subject of $22M Customer Dispute-Deer Park, TX 150 150 Rex Securities Law

April 2019- Houston, Texas We are currently investigating former First Allied Securities financial advisor William M. Robertson. According to FINRA records,  William (Mike) Robertson , discloses a currently pending dispute…

read more

Northeast Securities Ordered to Pay Former Customer $1.8 Million-Mitchelfield, NY

Northeast Securities Ordered to Pay Former Customer $1.8 Million-Mitchelfield, NY 150 150 Rex Securities Law

July 2017-New York An arbitration panel of the Financial Industry Regulatory Authority (FINRA) ordered Northeast Securities, Inc. a broker dealer headquartered in  Mitchelfield , NY, and three of their brokers…

read more

Jeffrey R. Wilson-Wells Fargo Broker-Loses Arbitration to Customer Over Energy and Real Estate Investments-Las Cruces, NM

Jeffrey R. Wilson-Wells Fargo Broker-Loses Arbitration to Customer Over Energy and Real Estate Investments-Las Cruces, NM 150 150 Rex Securities Law

May 2017-Las Cruces, NM The FINRA records of  Jeffrey R. Wilson  ,  a  stockbroker who is currently  registered with Wells Fargo Clearing Services disclose a recent arbitration award to a customer and 2 other prior…

read more

This site is protected by wp-copyrightpro.com