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…
read moreUpdated January 2019-New York According to FINRA records, Nathaniel Royce Clay , a broker with Laidlaw & Company, discloses a pending customer dispute, 5 prior customer disputes, a termination from employment and…
read moreChesterfield, MO Rex Securities Law is investigating VSR Financial Services broker Robert B. Hardcastle in connection with the sale of fixed annuities, mutual funds, equities, limited partnerships, direct investments in oil & gas, and…
read moreNovember 13, 2015-Melville NY Rex Securities Law is investigating options for recovery for investors who suffered damages in brokerage accounts handled by Zachary T. Bader. Zachary Bader , entered into a Letter…
read moreJuly 15, 2015- Jeffrey Howard Auerbach , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he violated NASD Rule 3040…
read moreJune 2, 2015-Boca Raton, FL David James LeDoux , entered into a Letter of Acceptance Waive and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed…
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