fbpx

National Securities Corporation

Douglas E. Duncan-Former National Securities Corp. Broker- Discloses Customer Dispute-Westbury, NY
Douglas E. Duncan-Former National Securities Corp. Broker- Discloses Customer Dispute-Westbury, NY 150 150 Rex Securities Law

May 2017-Westbury, New York The FINRA records of  Douglas E. Duncan ,  a  stockbroker who is currently  registered with PHX Financial  and Scottrade, Inc.  disclose a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…

read more

Douglas W. Studer-Former Kovack Securities Broker-Barred by Securities Regulator-Ft. Lauderdale, FL
Douglas W. Studer-Former Kovack Securities Broker-Barred by Securities Regulator-Ft. Lauderdale, FL 150 150 Rex Securities Law

February 2017-Ft. Lauderdale, FL According to publicly available records Douglas W. Studer , (CRD# 4440047) ,  a  former stockbroker who was last employed by Kovack Securities, disclose that he was permanently barred by…

read more

Robert B. Hardcastle-Former VSR Financial Broker-Discloses Settlement of Customer Disputes-Chesterfield, MO.
Robert B. Hardcastle-Former VSR Financial Broker-Discloses Settlement of Customer Disputes-Chesterfield, MO. 150 150 Rex Securities Law

September 2016-Chesterfield, MO The FINRA records of  Robert B. Hardcastle,  a  stockbroker who was formerly employed by  VSR Financial Services  disclose 11 prior customer disputes that are final. The Financial Industry Regulatory Authority (FINRA) is the agency that…

read more

Joseph M. Thurnherr-Former First Standard Financial Broker-Discloses Pending Customer Disputes
Joseph M. Thurnherr-Former First Standard Financial Broker-Discloses Pending Customer Disputes 150 150 Rex Securities Law

UPDATE MARCH 2018-Joseph M. Thurnherr is now employed by Spartan Capital Securities and has another customer dispute disclosed on his BrokerCheck report. See this for details.  Meyers Associates is now …

read more

Christos A. Kalatoudis-Former Worden Capital Broker-Discloses Regulatory Events & Pending Judgment/Liens
Christos A. Kalatoudis-Former Worden Capital Broker-Discloses Regulatory Events & Pending Judgment/Liens 150 150 Rex Securities Law

July 2016-Lake Success, New York The FINRA records of Christos A. Kalatoudis ,  a currently unlicensed stock broker who was last employed by Worden Capital Management, disclose  2 prior regulatory events,  4 prior finalized customer disputes and 2…

read more

Maximillian Santos-Former National Securities Corp Broker-Discloses Pending Regulatory Matter
Maximillian Santos-Former National Securities Corp Broker-Discloses Pending Regulatory Matter 150 150 Rex Securities Law

July 2016- New York The FINRA records of Maximillian Santos  , a stock broker who most recently worked for Blackbook Capital, LLC  , disclose  a currently pending regulatory matter, a prior final regulatory event and a termination from employment.…

read more

Pranav Patel-Former Dawson James Broker-Named in ForceField Energy Suit-Boca Raton, FL
Pranav Patel-Former Dawson James Broker-Named in ForceField Energy Suit-Boca Raton, FL 150 150 Rex Securities Law

July 2016- Boca Raton, FL The FINRA records of Pranav V. Patel  (CRD 5391213), a stock broker who formerly was employed by Dawson James Securities , disclose that he was recently named in a customer dispute. In…

read more

Leigh M. Garber-Former Ridgeway & Conger Broker-Discloses Regulatory Investigation Over Excessive Markups
Leigh M. Garber-Former Ridgeway & Conger Broker-Discloses Regulatory Investigation Over Excessive Markups 150 150 Rex Securities Law

Jericho, New York According to FINRA records,  Leigh M. Garber ,   a stockbroker who formerly worked for  Ridgeway & Conger   discloses a pending regulatory matter and a prior final regulatory matter. The Financial Industry Regulatory Authority…

read more
Enter your
text here

This site is protected by wp-copyrightpro.com