Category Archives: RIdgeway & Conger

George P. Koulouris-KCD Financial Broker-Discloses Customer Disputes-Manlius, NY

August 2016- Manlius, NY

The FINRA records of George P. Koulouris ,  a  stock broker who is currently  employed by KCD Financial, Inc.  disclose a prior regulatory event, 6 prior customer disputes, one currently pending customer dispute and a termination.

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 the currently pending FINRA Case# 15-01946 a customer of Koulouris’ prior employer, Ridgeway & Conger, alleges that he was not an accredited investor and that certain private placements purchased through Ridgeway & Conger and Pinnacle Investments were not suitable. No specific damages are pleaded.

The prior customer disputes include:

  • FINRA Case 13-01507, in which a customer of Ridgeway & Conger and Pinnacle Investments alleged damages of $551,434 for violations of suitability standards and other claims. An arbitration panel awarded $258,000 against Koulouris‘ member firm.

In 2/2009 Koulouris was discharged from Pinnacle Investments who made the following allegations: “Client alleged that broker, George Koulouris, made an unsuitable recommendation regarding the purchase of New Visions Powerline Communications, Inc., an investment that allowed only accredited investors.

Koulouris has been employed by  KCD Investments  since 6/2014. Prior to that he was employed by Ridgeway & Conger from 3/2009-11/2013.

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

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

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 (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 January 2016, FINRA name Leigh Garber in a complaint alleging that her firm and two other representatives  sold an unregistered security. Garber was the designated supervisor and failed to supervise. The complaint alleges that the firm charged excessive markups of 14-33%. FINRA Case 2010022046101. That matter is currently pending.

Garber is currently employed by Adirondack Trading of New Woodstock, NY, and  National Securities Corporation of New Woodstock, NY, and Boca Raton, FL.

 

Investors with losses in accounts handled by Leigh M. Garber may be able to recover damages from his former employer through FINRA arbitration.

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 

Kenley Brisard -Former RIdgeway & Conger Broker-Discloses Regulatory Investigation and Termination From Employment

Jericho, New York

According to FINRA records Kenley Brisard ,   a stockbroker who formerly worked for  Ridgeway & Conger   discloses a pending regulatory matter, a  final customer dispute and 2 terminations from employment and 3 pending judgment/liens.

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 January 2016, FINRA name Kenley Brisard in a complaint alleging that he, another representative and their firm sold an unregistered security. FINRA Case 2010022046101. That matter is currently pending.

In March 2016 Kenley Brisard was discharged by RIdgeway & Conger. The firm alleged that Brisard sold unsuitable products and charged excessive commissions. Kenley Brisard was discharged from National Securities Corporation in 10/1998. National Securities Corp alleged that a branch compliance officer witnessed a phone conversation in which Kenley Brisard represented himself as the CEO of American Express and made other misrepresentations with regard to confidential client information.

Kenley Brisard is not currently registered.

Investors with losses in accounts handled by Kenley Brisard may be able to recover damages from his former employer through FINRA arbitration.

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

Philip Brisard-Former Ridgeway & Conger Broker-Discloses Pending Regulatory Matter and Termination from Employment

Jericho, New York

According to FINRA records Philip Brisard ,   a stockbroker who formerly worked for  Ridgeway & Conger   discloses a pending regulatory matter, 4 final customer disputes and a termination from employment.

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 January 2016, FINRA name Philip Brisard in a complaint alleging that he, another representative and their firm sold an unregistered security. FINRA Case 2010022046101. That matter is currently pending.

In March 2016 Brisard was discharged by RIdgeway & Conger. The firm alleged that Brisard sold unsuitable products and charged excessive commissions.

Philip Brisard is not currently registered.

Investors with losses in accounts handled by Philip Brisard may be able to recover damages from his former employer through FINRA arbitration.

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

RIdgeway & Conger Broker Gary Kornbluh Sanctioned by Securities Regulator

September 18,2014- Coral Springs, FL-Gary Neil Kornbluh, a broker with Ridgeway & Conger was suspended for 4 months by FINRA to resolve allegations that he failed to timely amend and/or disclose tax liens and judgments on his Uniform Application for Securities Industry Registration and Transfer (Form U4).

According to FINRA findings , while associated with Ridgeway & Conger, Kornbluh received state court judgments and liens from the IRS and New York taxing authorities in excess of $70,000 which he failed to disclose in accordance with FINRA By-Laws and Rules.

Rex Securities Law , located in Boca Raton, FL, provides nationwide representation to investors 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.

Rex Securities Law

561 391 1900