Category Archives: Rothschild Lieberman

Bishoy G. Mankarios-Former Rothschild Lieberman Broker-Discloses Customer Dispute

August 2016- Syosset, New York

The FINRA records of  Bishoy G. Mankarios,  a  former stock broker who is not currently licensed  disclose  a currently pending customer dispute and a currently outstanding lien.

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 currently pending FINRA arbitration 14-02941, a customer of Mankarios former employer Craig Scott Capital, alleges damages of $130,000 for churning, breach of fiduciary duty, common law fraud, breach of contract and negligent supervision.

Mankarios employment history includes:

  • Rothschild Lieberman                9/2015-1/2016
  • Craig Scott Capital                       2/2012-10/2014

He also worked for Brookstone Securities , a firm that was expelled by FINRA in 10/2012.

If you have losses in an account handled or supervised by Bishoy G. Mankarios you 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

Steve J. Pabon-Joseph Stone/Rothschild Lieberman Broker-Discloses Pending Customer Disputes

August 2016- Syosset, New York

The FINRA records of  Steve J. Pabon,  a  stock broker who is currently employed by Joseph Stone Capital and Rothschild Lieberman,  disclose  3 currently pending customer disputes and a prior 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 currently pending FINRA arbitration 15-0735, a customer of Pabon’s former employer Craig Scott Capital, alleges damages of $1,000,000 for trades that were highly speculative and unsuitable.

In 1/2012, Pabon was discharged by Brookstone Securities who made the following statement on Pabon’s FINRA record: “1.Violated telemarketing rules by making cold-call to an individual whose phone number was listed on the FTC’s national do not call list. 2.Violated industry rules by using exaggerated and promissory language to induce a prospective customer to engage in a securities transaction. 3.Violated suitability rules by recommending securities to a prospective customer without first obtaining the customer suitability information.”

Pabon’s employment history includes:

  • Joseph Stone Capital                       since 8/2016
  • Rothschild Lieberman                     since 9/2015
  • Craig Scott Capital                       2/2012-12/2015

He also worked for Brookstone Securities , a firms that was expelled by FINRA in 10/2012.

If you have losses in an account handled or supervised by Steve J. Pabon you 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

Sperry R. Younger-NMS Capital Advisors Broker-Discloses Customer Dispute

July 2016-New York

The FINRA records of Sperry R. Younger ,  a stock broker who is currently employed by NMS Capital Advisors, LLC, disclose  a currently pending regulatory event, a currently pending customer dispute,  3 prior finalized customer disputes, a pending financial event and 6 outstanding judgement/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 the currently pending regulatory matter, FINRA Case 2013037522501, FINRA alleges that while employed by NMS Capital Securities,  Younger made misrepresentations to FINRA by providing false testimony regarding backdated memoranda and that Younger failed to establish and maintain a reasonable supervisory system at his member firm and that he failed to reasonably supervise individuals at the firm

In the currently pending customer dispute, a customer of J. Streicher Capital alleges that Younger failed to undertake  or perform advisory and capital raising services on behalf of Mullen Technologies pursuant to a signed agreement. Damages of $54,466 are sought.

Sperry R. Younger has been employed by NMS Capital Advisors since 10/2015. Prior to that he was employed by a number of firms, including: Avenir Financial Group, J. Streicher Capital and Rothschild Lieberman .

Sperry discloses the filing of Chapter 7 bankruptcy in the Southern District of New York and 6 pending judgements/liens.

If you have questions about an account handled by Sperry R. Younger call to learn how you may be entitled to collect damages 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