fbpx

Cape Securities

Joseph Lianzo -Former SW Financial Broker-Suspended by FINRA-Melville, NY

Joseph Lianzo -Former SW Financial Broker-Suspended by FINRA-Melville, NY 150 150 ER

Joseph A. Lianzo Investigation November  2021 – Melville, NY According to publicly attained records, Joseph Lianzo, a stockbroker who is not currently registered  and who was last employed by SW Financial…

read more

Tyre F. Newsome-Former Cape Securities Broker-Discloses Termination and Outstanding IRS Lien-New York

Tyre F. Newsome-Former Cape Securities Broker-Discloses Termination and Outstanding IRS Lien-New York 150 150 Rex Securities Law

July 2017-New York According to publicly available records Tyre F. Newsome , (CRD# 4812894) ,  a   stockbroker who is  currently registered with Windsor Street Capital , disclose  a prior customer dispute,…

read more

Paul Jacobs-Former Caldwell Securities Broker-Discloses Regulatory Action-Austin, TX

Paul Jacobs-Former Caldwell Securities Broker-Discloses Regulatory Action-Austin, TX 150 150 Rex Securities Law

October 2017-Austin, Texas According to FINRA records,  Paul Jacobs,   a stockbroker who is currently  employed by Cape Securities, discloses  a prior regulatory sanction . The Financial Industry Regulatory Authority (FINRA) is the agency that licenses…

read more

Shawn Burns-former Salomon Whitney Broker- Named in Customer Arbitrations Alleging High Pressure Stock Sales

Shawn Burns-former Salomon Whitney Broker- Named in Customer Arbitrations Alleging High Pressure Stock Sales 150 150 Rex Securities Law

APRIL 2018 UPDATE-As of April 2018, Shawn Burn’s FINRA record discloses a final regulatory event, 20 prior and one pending customer disputes, 2 terminations from employment, a chapter 7 bankruptcy…

read more

Cape Securities Fined $125K by Securities Regulators

Cape Securities Fined $125K by Securities Regulators 150 150 Rex Securities Law

May 5, 2015 Cape Securities  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that: from 2/2012-9/2012 Cape Securities failed…

read more

This site is protected by wp-copyrightpro.com