fbpx

Newport Coast Securities

Paul W. Murphy Investigation-Calton & Assoc. Broker- Subject of Multiple Customer Suits-Ocala, FL

Paul W. Murphy Investigation-Calton & Assoc. Broker- Subject of Multiple Customer Suits-Ocala, FL 150 150 Rex Securities Law

Paul W. Murphy Investigation May 2022-Ocala, FL The FINRA records of Paul W. Murphy , a stock broker who is currently employed by  Calton & Assoc. & Swan Financial Services, disclose 2 pending…

read more

Tony Barouti-Emerson Equity Broker-Discloses Customer Dispute Seeking $1.27M -Los Angeles, CA

Tony Barouti-Emerson Equity Broker-Discloses Customer Dispute Seeking $1.27M -Los Angeles, CA 150 150 Rex Securities Law

Tony Barouti Investigation Los Angeles, CA According to FINRA records,  Tony Barouti ,  a stockbroker  who currently works  for EmersonEquity , discloses  a currently pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…

read more

Gregory McCloskey-Former Westpark Capital Broker-Permanently Barred From FINRA- Irvine, CA

Gregory McCloskey-Former Westpark Capital Broker-Permanently Barred From FINRA- Irvine, CA 150 150 Rex Securities Law

July 2021- San Clemente, CA According to publicly available records Gregory McCloskey (CRD#2820510), a  former stockbroker who last worked for Westpark Capital,  has been permanently barred from FINRA. The Financial…

read more

George E. Johnson-Former Newport Coast Broker-Discloses $2.6M Customer Dispute

George E. Johnson-Former Newport Coast Broker-Discloses $2.6M Customer Dispute 150 150 Rex Securities Law

July 2016-Chicago, Illinois The FINRA records of George E. Johnson  , a former stockbroker who was last  employed by  Newport Coast Securities  , disclose 3 final regulatory events, 6 prior customer disputes and a pending customer dispute.…

read more

Neil Pecker of Deerfield Beach, FL, Ordered to Pay Millions in Fines/Restitution

Neil Pecker of Deerfield Beach, FL, Ordered to Pay Millions in Fines/Restitution 150 150 Rex Securities Law

UPDATE MARCH 2017-Deerfield Beach, FL Public records disclose that on March 8, 2017, in an action filed by the U.S. Commodity Futures Trading Commission in the U.S. District Court for…

read more

Emil Botvinnik-Former SW Financial/ Worden Capital Broker-Accused of Churning by Regulator

Emil Botvinnik-Former SW Financial/ Worden Capital Broker-Accused of Churning by Regulator 150 150 Rex Securities Law

UPDATED January 2019-In 9/2018, the US Securities & Exchange Commission filed a civil suit alleging that Botvinnik engaged in fraud involving excessive commissions to enrich himself while his customers experienced…

read more

Donald A. Bartelt-Former Newport Coast Securities Broker-Discloses Pending Regulatory Action for Churning

Donald A. Bartelt-Former Newport Coast Securities Broker-Discloses Pending Regulatory Action for Churning 150 150 Rex Securities Law

July 2016-Cave Creek, AZ The FINRA records of Donald A. Bartelt  , a former stock broker who was last employed by  Newport Coast Securities  , disclose a pending regulatory event,  a prior customer dispute , a pending customer…

read more

Antonio Costanzo-Former Newport Coast Securities Broker-Discloses Churning Complaint-Industry Bar

Antonio Costanzo-Former Newport Coast Securities Broker-Discloses Churning Complaint-Industry Bar 150 150 Rex Securities Law

July 2016-Chesapeake, VA The FINRA records of Antonio Costanzo  , a former stock broker who was last employed by  TItus Rockefeller  , disclose a pending regulatory event, a prior final regulatory event, 8 prior customer disputes and a termination…

read more

This site is protected by wp-copyrightpro.com