National Securities Corporation Archives - Page 3 of 6

Rex Securities Law
June 11, 2019
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Craig Bonn-Former Laidlaw & Company Broker-Discloses Customer Disputes- New York

Craig Bonn-Former Laidlaw & Company Broker-Discloses Customer Disputes- New York http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 11, 2019 June 11, 2019

June 2019 – New York According to publicly available records, a former Laidlaw & Company financial advisor, Craig A. Bonn discloses 1 pending and 2 prior customer disputes. The Financial Industry…

Rex Securities Law
May 13, 2019
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Kevin R. Wilson-Former Laidlaw & Co. Financial Advisor-Subject of Millions in Claims for Private Placement Losses-New York

Kevin R. Wilson-Former Laidlaw & Co. Financial Advisor-Subject of Millions in Claims for Private Placement Losses-New York http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 13, 2019 April 23, 2021

April 2021 – New York According to publicly available records, former Laidlaw & Company financial advisor Kevin R. Wilson discloses 7 pending customer disputes and 4 prior customer disputes, all…

Rex Securities Law
October 30, 2018
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Robert Abramowitz- National Securities Corp. Broker- Discloses Customer Disputes- Melville, NY

Robert Abramowitz- National Securities Corp. Broker- Discloses Customer Disputes- Melville, NY http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g October 30, 2018 October 30, 2018

October 2018- Melville, NY According to publicly available records Robert Abramowitz (CRD#4457589), a stockbroker who is registered with National Securities Corp. disclose a prior customer dispute and 2 pending customer disputes..…

Rex Securities Law
October 1, 2018
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Greg Patterson-Four Points Capital Broker-Discloses Excessive Trading Investigation by Regulators-Montana / New York

Greg Patterson-Four Points Capital Broker-Discloses Excessive Trading Investigation by Regulators-Montana / New York http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g October 1, 2018 October 1, 2018

September 2018- New York Gregory Don Patterson , a stockbroker who is currently registered with Four Points Capital Partners, a Texas LLC, (Four Points) discloses a prior customer dispute, a currently pending regulatory…

Rex Securities Law
March 21, 2018
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Gabe Block-Former First Standard Financial/NSC/Oppenheimer Broker-Fined $750K by NJ Regulators-Rumson , NJ

Gabe Block-Former First Standard Financial/NSC/Oppenheimer Broker-Fined $750K by NJ Regulators-Rumson , NJ http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 21, 2018 May 15, 2019

May 2019– Rumson, NJ The FINRA records of Gabriel (Gabe) Block, a former stockbroker who was last employed by First Standard Financial Co., disclose 4 final regulatory events,3 currently pending…

Rex Securities Law
January 6, 2018
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Zachary Berkey-Former Four Points Capital Broker-Fined by Regulator-Melville, NY

Zachary Berkey-Former Four Points Capital Broker-Fined by Regulator-Melville, NY http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g January 6, 2018 June 14, 2019

June 2019-Melville, New York / Texas Zachary S. Berkey , a currently unregistered stockbroker who last worked for Four Points Capital Partners, a Texas LLC, (Four Points) was named in a…

Rex Securities Law
August 30, 2017
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Rocco Lavista-Former Aegis Capital Corp. Broker-Discloses Customer Suits Alleging Churning – Iselin, NJ

Rocco Lavista-Former Aegis Capital Corp. Broker-Discloses Customer Suits Alleging Churning – Iselin, NJ http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 30, 2017 September 7, 2019

September 2019-Tinton Falls, NJ According to publicly available records Rocco J. Lavista (CRD#2784573) , a currently unregistered stockbroker who was last registered with Arive Capital Markets , discloses settlement of 2 customer disputes. The Financial…

Rex Securities Law
May 18, 2017
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Keith J. Hart – Broker previously Aegis Capital- Discloses Customer Dispute – Melville, NY

Keith J. Hart – Broker previously Aegis Capital- Discloses Customer Dispute – Melville, NY http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 18, 2017 May 18, 2017

May 2017- Melville, NY According to publicly available records Keith J. Hart (CRD#4438580) , a stockbroker who is currently not registered, but was previously registered with Aegis Capital Corp., discloses 2 pending customer disputes.…

Rex Securities Law
May 11, 2017
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Ramesh Madhusudan-Raymond James Broker-Discloses $9M Customer Dispute-Miami, FL

Ramesh Madhusudan-Raymond James Broker-Discloses $9M Customer Dispute-Miami, FL http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 11, 2017 May 11, 2017

May 2017-Miami, FL The FINRA records of Ramesh Madhusudan, a stockbroker who is employed by Raymond James Financial Services disclose a prior customer dispute and a currently pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is…