Category Archives: Celadon Financial Group

James L. Powers-Former Du Pasquier Broker-Named In Regulatory Complaint-Hoboken, NJ

April 2017- Hoboken, New Jersey

According to publicly available records James L. Powers  , (CRD# 1793348) ,  a  currently unregistered stockbroker who was last registered with IFS Securities  discloses a pending  regulatory event.

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.

In November 2016 FINRA filed a complaint alleging that while employed by Du Pasquier & Co., Powers used his control over firm trading accounts to create fictitious trades between a firm trading account and his personal account for his own personal profit, converted customer funds, and hid a loss he incurred in a firm trading account by repeatedly entering unauthorized, fictitious customer trades and cancelling them before settlement. FINRA Case 2014041985401. 

Powers’ prior employment includes IFS Securities, Celadon Financial Group, Aegis Capital Corp. and Du Pasquier & Co. Powers discloses that he he drives for Uber approximately 20 hours per week.

If you have questions about an account handled by James L. Powers, call to discuss your options.

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

Gary Edward Morse-Celadon Financial Group Broker-Discloses Bankruptcy Filing-Boca Raton, FL

April 2017- Boca Raton, FL

According to publicly available records Gary Edward Morse  , (CRD# 1793348) ,  a  stockbroker who is currently registered with Celadon Financial Group  discloses a pending   financial event and an outstanding judgment/lien.

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.

Morse discloses the filing of a chapter 7 bankruptcy in June 2016 in the U.S. Bankruptcy Court for the Southern District of Florida.

Morse also discloses an outstanding lien in the amount of $186,760 in favor or the Internal Revenue Service.

Gary Morse’s prior employment includes Livingston Monroe Capital GroupAegis Capital Corp. and Dawson James Securities.

Celadon Financial Group has been a FINRA member since 1994 and is headquartered in Chatham, New Jersey. They have locations in New York City, Washingtonville, New York, Boca Raton, FL, Pompano Beach, FL and Shrewsbury, New Jersey. 

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