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First Standard Financial

James B. Schwartz-Former Aegis Capital Broker-Barred for Churning Customer Accounts-New York

James B. Schwartz-Former Aegis Capital Broker-Barred for Churning Customer Accounts-New York 150 150 Rex Securities Law

April 2019-Garden City, New York The FINRA records of James B. Schwartz ,  a  former stock broker  who worked for Aegis Capital from 8/2013-6/2016 and was last employed  by Joseph Gunnar & Co.  , disclose  that…

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Francesco A. Scarso-First Standard Financial Broker-Discloses Pending Customer Dispute-NY

Francesco A. Scarso-First Standard Financial Broker-Discloses Pending Customer Dispute-NY 150 150 Rex Securities Law

New York MAY 2017 UPDATE–Francesco Scarso was permanently barred from the securities industry in 2/2017 for failing to respond to a request for information in connection with an investigation.  …

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William Gennity-Former Alexander Capital Stockbroker-Named in Churning Complaint

William Gennity-Former Alexander Capital Stockbroker-Named in Churning Complaint 150 150 Rex Securities Law

MARCH 2019 Update–SEC enters consent judgement vs. William Gennity.  UPDATE August 2016–William Gennity Named in Churning Complaint by Montana Securities Regulator. Follow this link for details. May 2016- NYC The Financial Industry…

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Laurence M. Torres -Former Alexander Capital/First Standard Financial Stockbroker Accused of High Pressure Sales

Laurence M. Torres -Former Alexander Capital/First Standard Financial Stockbroker Accused of High Pressure Sales 150 150 Rex Securities Law

MAY 2018 UPDATE-LAURENCE TORRES BARRED FROM SECURITIES INDUSTRY-ACCUSED OF HIGH PRESSURE SALES. See this for details. ORIGINAL POST May 2016- Staten Island, NY The Financial Industry Regulatory Authority (FINRA) is the agency…

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Marc A. Reda-Former PHX Financial Broker-Fined & Suspended-NY

Marc A. Reda-Former PHX Financial Broker-Fined & Suspended-NY 150 150 Rex Securities Law

July 2021  UPDATE -FINRA has filed a complaint alleging that Reda churned accounts and traded customer without authority.  Follow this for update. ORIGINAL POST--May 2016- Garden City, NY The Financial Industry Regulatory…

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Levert Caldwell Named in Customer Arbitration-National Securities Corporation

Levert Caldwell Named in Customer Arbitration-National Securities Corporation 150 150 Rex Securities Law

May 2016- Staten Island 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…

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Geoffrey Garratt Named In Customer Arbitration-National Securities Corporation

Geoffrey Garratt Named In Customer Arbitration-National Securities Corporation 150 150 Rex Securities Law

May 2016- Staten Island 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…

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Gabriel Block Barred From Securities Industry-Oppenheimer & Co.-Red Bank, NJ

Gabriel Block Barred From Securities Industry-Oppenheimer & Co.-Red Bank, NJ 150 150 Rex Securities Law

MAY 2019 UPDATE–Gabriel Block found guilty of unethical and dishonest practices, fined $750,000 by NJ regulators and barred from securities industry by FINRA. See this for details.  May 2016- Red Bank, NJ…

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