Category Archives: 1st Bridgehouse Securities

Howard Landers-1st Bridgehouse Securities Broker, Miami, FL-Suspended by FINRA

UPDATE October 2016– Without admitting or denying the allegations Howard Landers consented to the entry of findings that he willfully failed to timely amend his Form U4 to disclose unsatisfied IRS tax liens totalling $375,704 that were filed against him. Landers consented to a suspension in all capacities for three months commencing October 17, 2016.

Orignal Post—March 21, 2016-Miami, Florida

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

FINRA records are public and can be accessed on the BrokerCheck website. 

The FINRA records of  1st Bridgehouse Securities stock broker Howard B. Landers report that he has recently been named in a  Complaint filed by FINRA Department of Enforcement. The complaint in Disciplinary Proceeding 2013035298602, alleges that Landers failed to amend his FINRA Form U4 to disclose four unsatisfied IRS tax liens totaling approximately $375,000 that were filed against him in 2012-2013.

If you have questions about an account handled by Howard B. Landers, call to speak with an experienced securities attorney.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Steven Swain-1st Bridgehouse Securities Broker Sanctioned by Securities Regulator

September 24, 2014- Naples, Florida

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

FINRA records are public and can be accessed on the BrokerCheck website. 

Steven James Swain was suspended for three months and assessed a $5,000 fine to resolve FINRA allegations that he failed to timely amend FINRA disclosure forms ( Form U4)  to disclose four unsatisfied liens totally about $200,000, in violation of FINRA Rules 1122 and 2010.

According to FINRA records, Swain was registered with 1st Bridgehouse Securities from 7/2008-5/2014.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870