Rex Securities Law-BLOG - Page 56 of 247 - Nationwide representation of victims of stockbroker fraud and the malpractice of investment professionals.

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July 29, 2021
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Paul Spero- Cadaret, Grant & Co. Financial Advisor- Discloses Regulatory Events- Syracuse, NY

Paul Spero- Cadaret, Grant & Co. Financial Advisor- Discloses Regulatory Events- Syracuse, NY http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g July 29, 2021 July 29, 2021

July 2021- Syracuse, NY According to publicly available records, Paul Spero a broker with Cadaret, Grant & Co. discloses a regulatory event. The Financial Industry Regulatory Authority (FINRA) is the agency that…

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July 29, 2021
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Scott Fergang- Former RBC Capital Markets Broker- Discloses Regulatory Event, Customer Dispute and a Termination- Hackensack, NJ

Scott Fergang- Former RBC Capital Markets Broker- Discloses Regulatory Event, Customer Dispute and a Termination- Hackensack, NJ http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g July 29, 2021 July 29, 2021

July 2021- Hackensack , NJ According to publicly available records, Scott Fergang, a financial advisor who previously was employed by RBC Capital and who now works for Stifel, Nicolaus , discloses…

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July 29, 2021
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David Martirosian-Former Joseph Stone Capital Broker-Permanently Barred From FINRA- NYC, NY

David Martirosian-Former Joseph Stone Capital Broker-Permanently Barred From FINRA- NYC, NY http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g July 29, 2021 July 29, 2021

July 2021- New York, NY According to publicly available records David Martirosian (CRD#5261144), a former stockbroker who last worked for Joseph Stone Capital, has been permanently barred from FINRA. The…

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July 29, 2021
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Sun Hyung Kim-Former Kayan Securities Broker-Permanently Barred From FINRA- Los Angeles, CA

Sun Hyung Kim-Former Kayan Securities Broker-Permanently Barred From FINRA- Los Angeles, CA http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g July 29, 2021 July 29, 2021

July 2021- Los Angeles, CA According to publicly available records Sun Hyung Kim (CRD#2053243), a former stockbroker who last worked for Kayan Securities, Inc., has been permanently barred from FINRA.…

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July 29, 2021
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Mark Barrand-Ameriprise Financial Broker-Discloses 4 Settled Customer Disputes and 2 Pending Disputes-Denver, CO

Mark Barrand-Ameriprise Financial Broker-Discloses 4 Settled Customer Disputes and 2 Pending Disputes-Denver, CO http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g July 29, 2021 July 29, 2021

July 2021-Denver, CO According to publicly available records, a broker currently employed by Ameriprise Financial Services, Mark Barrand, discloses 4 settled customer disputes and 2 pending customer disputes. The Financial…

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July 29, 2021
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James Daughtry-Former Kestra Financial Services Broker-Permanently Barred From FINRA- Dothan, AL

James Daughtry-Former Kestra Financial Services Broker-Permanently Barred From FINRA- Dothan, AL http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g July 29, 2021 July 29, 2021

July 2021- Dothan, AL According to publicly available records James Blake Daughtry (CRD#3272282), a former stockbroker who last worked for Kestra Financial Services, has been permanently barred from FINRA. The…

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July 29, 2021
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Trevor Saliba-Former NMS Capital Advisor Broker-Permanently Barred From FINRA- Beverly Hills, CA

Trevor Saliba-Former NMS Capital Advisor Broker-Permanently Barred From FINRA- Beverly Hills, CA http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g July 29, 2021 July 29, 2021

July 2021- Beverly Hills, CA According to publicly available records Trevor M. Saliba (CRD#2692057), a former stockbroker who last worked for NMS Capital Advisors, has been permanently barred from FINRA.…

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July 29, 2021
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Evan Schottenstein-Former J.P. Morgan Broker-Permanently Barred From FINRA- New York, NY

Evan Schottenstein-Former J.P. Morgan Broker-Permanently Barred From FINRA- New York, NY http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 29, 2021 July 29, 2021

July 2021- New York, NY According to publicly available records Evan Schottenstein (CRD#4929175), a former stockbroker who last worked for J.P. Morgan Securities (JPMS), has been permanently barred from FINRA.…

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July 28, 2021
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Alvery Bartlett- Former Berthel, Fisher Broker-Discloses Customer Suits -St. Louis, MO

Alvery Bartlett- Former Berthel, Fisher Broker-Discloses Customer Suits -St. Louis, MO http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 28, 2021 July 29, 2021

July 2021 – St. Louis, MO According to publicly available records Alvery Anthony Bartlett, Jr. (CRD#13975), a stockbroker who is currently employed by Aegis Capital and who previously worked for…