fbpx

Rex Securities Law-BLOG

Nationwide representation of victims of stockbroker fraud and the malpractice of investment professionals.

Matthew T. Flynn-L.M. Kohn Broker-Discloses Customer Dispute Over REIT Investment

Matthew T. Flynn-L.M. Kohn Broker-Discloses Customer Dispute Over REIT Investment 150 150 Rex Securities Law

July 2016- Troy, Michigan The FINRA records of Matthew T. Flynn  , a stock broker employed by L.M. Kohn & Company, disclose  a pending customer arbitration, a prior final financial disclosure and a prior termination. The…

read more

Charles J. Ehnot-L. M. Kohn Broker- Discloses 30 Customer Disputes-Dunmore, PA

Charles J. Ehnot-L. M. Kohn Broker- Discloses 30 Customer Disputes-Dunmore, PA 150 150 Rex Securities Law

January 2020- Dunmore, PA The FINRA records of Charles J. Ehnot , a stock broker employed by L.M. Kohn & Company, disclose  30 prior customer disputes and two outstanding IRS tax  liens. See…

read more

Douglas C. Osborn-L.M. Kohn Stock Broker Discloses Customer Dispute

Douglas C. Osborn-L.M. Kohn Stock Broker Discloses Customer Dispute 150 150 Rex Securities Law

July 2016- Troy, Michigan The FINRA records of Douglas C. Osborn , a stock broker employed by L.M. Kohn & Company, disclose  a pending customer arbitration. The Financial Industry Regulatory Authority (FINRA) is the agency that…

read more

Primex Broker Jeffrey S. Cederberg Discloses Sanction -San Luis Obispo, CA

Primex Broker Jeffrey S. Cederberg Discloses Sanction -San Luis Obispo, CA 150 150 Rex Securities Law

San Luis Obispo, CA UPDATE JULY 2017-In April 2017, Jeffrey Cederberg was fined $5,000 and suspended for four months by FINRA to resolve allegations that he failed to timely amend…

read more

Garden State Securities Order to Pay Damages for Investment Losses

Garden State Securities Order to Pay Damages for Investment Losses 150 150 Rex Securities Law

July 5, 2016-New York A Financial Industry Regulatory Authority (FINRA)  arbitration panel ordered Garden State Securities, based in Red Bank, New Jersey, to pay an elderly customer over $142,000 to…

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

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

Kenley Brisard -Former RIdgeway & Conger Broker-Discloses Regulatory Investigation and Termination From Employment 150 150 Rex Securities Law

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.…

read more

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

Philip Brisard-Former Ridgeway & Conger Broker-Discloses Pending Regulatory Matter and Termination from Employment 150 150 Rex Securities Law

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…

read more

This site is protected by wp-copyrightpro.com