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Finra Investigation of Stockbroker

Stuart Horowitz-Former Securities America Broker-Discloses 37 Customer Disputes
Stuart Horowitz-Former Securities America Broker-Discloses 37 Customer Disputes 150 150 Rex Securities Law

July 2016-Coral Springs, Florida The FINRA records of Stuart Horowitz  , a former stock broker employed by  Securities America  , disclose a prior final regulatory event, 33 prior customer disputes, 4 currently pending customer disputes and a…

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Bahram Mirhashemi-Former Accelerated Capital Group Broker-Discharged & Barred from Securities Industry
Bahram Mirhashemi-Former Accelerated Capital Group Broker-Discharged & Barred from Securities Industry 150 150 Rex Securities Law

July 2016 The FINRA records of Bahram Mirhashemi  , a stock broker who formerly was employed by Accelerated Capital Group  , disclose 2 prior final regulatory events,  a currently pending regulatory event, 5 currently  pending customer disputes, a prior final customer…

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Jeffrey Smith-Former Accelerated Capital Group Broker-Discloses $750K Customer Arbitration
Jeffrey Smith-Former Accelerated Capital Group Broker-Discloses $750K Customer Arbitration 150 150 Rex Securities Law

UPDATE SEPTEMBER 2017–Jeffrey A. Smith, without admitting or denying the findings, consented to sanctions of a $5,000 fine and a three month suspension from 9/5/2017-12/4/2017, to resolve allegations that he…

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Matthew DiGregorio-Former J.D. Nicholas Broker-Permanently Barred from Securities Industry-Melville, NY
Matthew DiGregorio-Former J.D. Nicholas Broker-Permanently Barred from Securities Industry-Melville, NY 150 150 Rex Securities Law

Melville, NY UPDATE JULY 2017-In 11/2016 Matthew DiGregorio was permanently barred from the securities industry by FINRA for failing to pay an award as ordered by a FINRA arbitration panel…

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Allen B. Holeman-David Lerner Broker-Discloses Regulatory Complaint
Allen B. Holeman-David Lerner Broker-Discloses Regulatory Complaint 150 150 Rex Securities Law

July 2016- Syosset, NY The FINRA records of Allen B. Holeman  , a stock broker who works for David Lerner Associates  , disclose  a currently pending regulatory matter and 2 outstanding judgement/liens The Financial Industry Regulatory Authority (FINRA) is…

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William M. Ditty-HD Vest Broker-Discloses Regulatory Complaint-Dublin, OH
William M. Ditty-HD Vest Broker-Discloses Regulatory Complaint-Dublin, OH 150 150 Rex Securities Law

MAY 2017 UPDATE-FINRA records indicate that William M. Ditty, Jr. is not currently registered with any broker dealer. ORIGINAL POST-July 2016– Dublin, Ohio The FINRA records of William M. Ditty, Jr.  , a stock broker…

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Maximillian Santos-Former National Securities Corp Broker-Discloses Pending Regulatory Matter
Maximillian Santos-Former National Securities Corp Broker-Discloses Pending Regulatory Matter 150 150 Rex Securities Law

July 2016- New York The FINRA records of Maximillian Santos  , a stock broker who most recently worked for Blackbook Capital, LLC  , disclose  a currently pending regulatory matter, a prior final regulatory event and a termination from employment.…

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Joshua S. Fortin-Money Capital Concepts Broker-Discloses Regulatory Investigation
Joshua S. Fortin-Money Capital Concepts Broker-Discloses Regulatory Investigation 150 150 Rex Securities Law

July 2016- Cincinnati, OH The FINRA records of Joshua Standish “J.S.”  Fortin  , a stock broker currently employed by Money Concepts Capital Corp , disclose  a prior final regulatory event, a prior final customer dispute and a…

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