Category Archives: Craig Scott Capital

Bishoy G. Mankarios-Former Rothschild Lieberman Broker-Discloses Customer Dispute

August 2016- Syosset, New York

The FINRA records of  Bishoy G. Mankarios,  a  former stock broker who is not currently licensed  disclose  a currently pending customer dispute and a currently outstanding 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.

In currently pending FINRA arbitration 14-02941, a customer of Mankarios former employer Craig Scott Capital, alleges damages of $130,000 for churning, breach of fiduciary duty, common law fraud, breach of contract and negligent supervision.

Mankarios employment history includes:

  • Rothschild Lieberman                9/2015-1/2016
  • Craig Scott Capital                       2/2012-10/2014

He also worked for Brookstone Securities , a firm that was expelled by FINRA in 10/2012.

If you have losses in an account handled or supervised by Bishoy G. Mankarios you may be able to recover damages from his former employer through FINRA arbitration.

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

Steve J. Pabon-Joseph Stone/Rothschild Lieberman Broker-Discloses Pending Customer Disputes

August 2016- Syosset, New York

The FINRA records of  Steve J. Pabon,  a  stock broker who is currently employed by Joseph Stone Capital and Rothschild Lieberman,  disclose  3 currently pending customer disputes and a prior termination from employment.

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 currently pending FINRA arbitration 15-0735, a customer of Pabon’s former employer Craig Scott Capital, alleges damages of $1,000,000 for trades that were highly speculative and unsuitable.

In 1/2012, Pabon was discharged by Brookstone Securities who made the following statement on Pabon’s FINRA record: “1.Violated telemarketing rules by making cold-call to an individual whose phone number was listed on the FTC’s national do not call list. 2.Violated industry rules by using exaggerated and promissory language to induce a prospective customer to engage in a securities transaction. 3.Violated suitability rules by recommending securities to a prospective customer without first obtaining the customer suitability information.”

Pabon’s employment history includes:

  • Joseph Stone Capital                       since 8/2016
  • Rothschild Lieberman                     since 9/2015
  • Craig Scott Capital                       2/2012-12/2015

He also worked for Brookstone Securities , a firms that was expelled by FINRA in 10/2012.

If you have losses in an account handled or supervised by Steve J. Pabon you may be able to recover damages from his former employer through FINRA arbitration.

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

William K. Bradley-Former Newbridge Securities Broker-Discloses Customer Dispute & Termination

August 2016- New York

The FINRA records of  William K. Bradley,  a  stock broker who is currently employed by Meyers Associates,  disclose  a currently pending customer dispute and a prior termination from employment.

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 currently pending FINRA arbitration 16-0441, a customer of Bradley’s former employer HFP Capital Markets, alleges damages of $30,236 for unsuitable investments.

In 12/2011, Bradley was discharged by HFP Capital Markets who made the following statement on Bradley’s FINRA record: “William Bradley was discharged due to the fact that he, by his own admission, was caught selling proprietary assets of the firm without authorization. When Mr. Bradley was approached  by the branch office manager and a second broker he admitted to selling leads to a person outside the firm.”

 

Bradley’s prior employment history includes:

  • Meyers Associates                       since 3/2016
  • Newbridge Securities                  11/2015-3/2016
  • Craig Scott Capital                       2/2012-12/2015

He also worked for Brookstone Securities and HFP Capital Markets. Both firms have been expelled by FINRA.

If you have losses in an account handled or supervised by William K. Bradley you may be able to recover damages from his former employer through FINRA arbitration.

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

Craig S. Taddonio-Meyers Associates Broker-Discloses Liens, Regulatory Events and Customer Disputes

August 2016- New York

The FINRA records of  Craig S. Taddonio,  a  stock broker who is currently employed by Meyers Associates,  disclose  a currently pending regulatory matter, a prior regulatory matter, 3 prior customer disputes, a currently pending customer dispute and 4 outstanding liens.

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 currently pending FINRA regulatory matter 2015044823501, Taddonio is a named respondent in a complaint alleging that, while employed by Craig Scott Capital,  he failed to establish and maintain a reasonable supervisory system to prevent excess trading and churning in customer accounts. The complaint alleges that despite numerous ‘red flags,Taddonio did little to monitor brokers and prevent churning of customer accounts. In addition the complaint alleges that Taddonio lied, under oath, and in written responses to FINRA requests for information.

FINRA cancelled the license of Craig Scott Capital in January 2016.

In currently pending FINRA Case#15-0600 a customer of Craig Scott Capital alleges damages of $900,000 for breach of contract, negligence and failure to supervise.

Two of the currently outstanding liens disclosed by Taddonio are in favor of the Internal Revenue Service. One is in the amount of $735,353 and the other in the amount of $574,055.

Taddonio prior employment history includes:

  • Meyers Associates                       since 3/2016
  • Craig Scott Capital                       2/2012-1/2016

If you have losses in an account handled or supervised by Craig S. Taddonio you may be able to recover damages from his former employer through FINRA arbitration.

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

Brent Porges-Former Meyers Assoc. Broker-Discloses Customer Disputes & Regulatory Investigations

August 2016- New York

The FINRA records of  Brent Porges,  a  former stock broker who is currently not licensed   disclose  a currently pending regulatory matter, a prior regulatory matter, 4 prior customer disputes, a currently pending customer dispute and 6 outstanding liens.

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 currently pending FINRA regulatory matter 2015044823501, Porges is a named respondent in a complaint alleging that, while employed by Craig Scott Capital,  he failed to establish and maintain a reasonable supervisory system to prevent excess trading and churning in customer accounts. The complaint alleges that despite numerous ‘red flags, Porges did little to monitor brokers and prevent churning of customer accounts. In addition the complaint alleges that Porges lied, under oath, and in written responses to FINRA requests for information.

FINRA cancelled the license of Craig Scott Capital in January 2016.

In currently pending FINRA Case#15-0600 a customer of Craig Scott Capital alleges damages of $900,000 for breach of contract, negligence and failure to supervise.

Three of the currently outstanding liens disclosed by Porges are in favor of the Internal Revenue Service.

Porges prior employment history includes:

  • Meyers Associates                      3/2016-8/2016
  • Newbridge Securities                 11/2015-1/2016
  • Newbridge Securities                 10/2015-10/2015
  • Craig Scott Capital                       1/2012-10/2015

If you have losses in an account handled or supervised by Brent Porges you may be able to recover damages from his former employer through FINRA arbitration.

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

Jonathan E. Rago-Former Aegis Capital Broker-Discloses Pending Customer Dispute

August  2016-Melville, New York

The FINRA records of Jonathan E. Rago ,  a  stock broker who is not currently registered but was last employed  by Aegis Capital Corp. , disclose a pending customer dispute and two prior regulatory events.

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 the pending dispute , FINRA Case# 15-2865, a customer of his prior employer, Aegis Capital, alleges damages  of $29,806 for unsuitablity and churning from June 2014 to the present.

In 3/2016 Arkansas securities regulators suspended Rago for one year. According to FINRA records, Rago made a cold call recommending the purchase of stock in Himax Technologies. Unbeknownst to Rago was the fact that he had called a senior securities examiner of the Arkansas Securities Department. Arkansas regulators alleged that Rago failed to conduct a proper suitability analysis prior to recommending the stock for purchase. Rago  had previously been sanctioned by Arkansas regulators in 2014.

Rago was employed by Aegis Capital from 6/2014-4/2016 . He was with Craig Scott Capital from 5/2013-7/2014.

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

Nicholas F. Milano-Former Aegis Capital Broker-Disclosed Customer Arbitrations

August  2016-Melville, New York

The FINRA records of Nicholas F. Milano ,  a  stock broker who is not currently registered but was last employed  by Aegis Capital Corp. , disclose a pending customer dispute and a prior FINRA award in favor of a customer.

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 the pending dispute , a customer of his prior employer, Aegis Capital, alleges damages in excess of $5,000 for failing to follow instructions.

In July 2016, in FINRA Case #15-0376, an arbitration panel found Milano jointly and severally liable for damages of $252,194 to a customer of his former employer Craig Scott Capital. That customer had filed an arbitration seeking damages of$493,521 alleging negligence, unsuitability, churning, unauthorized trading, breach of fiduciary duty, breach of contract and other claims.

Milano was by Aegis Capital from 6/2014-12/2015 . He was with Craig Scott Capital from 2/2012-7/2014. Prior to that he was employed by Brookstone Securities. Brookstone was expelled by FINRA in 10/2012.

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