Category Archives: Midsouth Capital

L. M. Kohn Broker Charles J. Ehnot Settles Oil Master Limited Partnership Case

July 2016- Dunmore, PA

The FINRA records of Charles J. Ehnot , a stock broker employed by L.M. Kohn & Company, disclose  29 prior customer disputes that have been settled. See this for details. 

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 FINRA Case 15-1261, which was resolved recently, a customer  of L. M. Kohn alleged damages of $160,000 for losses incurred on master limited partnerships in the oil industry. That case was settled for $49,750.

Ehnot has been employed by L.M. Kohn since 1/2012. Prior to that he was employed by Midsouth Capital.

If you have losses in an account handled by Charles J. Ehnot, you may be able to collect damages from his former employer.

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

Timothy C. Moody- Moody Captital Solutions Broker-Discloses Regulatory Suspension

Dawsonville, Georgia

According to FINRA records,  Timothy C. Moody   a stock broker  employed by Moody Capital Solutions , discloses a recent regulatory action.

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 February 2016, Timothy C. Moody, without admitting or denying the findings, consented to a fine of $5,000 and a three month suspension for willfully failing to timely amend FINRA reporting forms to disclose that he had filed a chapter 7 bankruptcy petition in the U.S. Bankruptcy Court in the Northern District of Georgia. Suspension is from 3/21/2016-6/20/2016.

Moody has been employed by Moody Capital Solutions since 10/2006.. Prior to that his employment includes Midsouth Capital and Berthel, Fisher & Co.

If you have questions about an account handled  by Timothy C. Moody, call for a no charge consultation.

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

Robert L. Rosenstein-Moody Capital Solutions Broker-Discloses Judgements/Liens

Dawsonville, Georgia

According to FINRA records,  Robert L. Rosenstein   a stock broker  formerly employed by Ladenburg, Thalmann & Co. , discloses the discharge from a Chapter 7 bankruptcy in 2012  and 5 pending judgment/liens. He is currently employed by Moody Capital Solutions

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.

Rosenstein discloses five judgments/liens, including a lien for $307,666.11 filed in the Superior Court of Fulton County, GA in favor of the Internal Revenue Service.

Rosenstein was employed by Ladenburg Thalmanfrom 3/2010-7/2011. Prior to that his employment includes Midsouth Capital and Cardinal Securities.

If you have questions about an account handled  by Robert L. Rosenstein, call for a no charge consultation.

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