churning alexander capital Archives - Rex Securities Law-BLOG

Rex Securities Law
January 18, 2017
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Jason H. Klabal-Former Legend Securities Broker-Discloses Customer Disputes

Jason H. Klabal-Former Legend Securities Broker-Discloses Customer Disputes 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 January 18, 2017 January 18, 2017

January 2017- New York According to publicly available records Jason H. Klabal , (CRD# 2910714) , a stockbroker who is currently employed by Alexander Capital, disclose 2 currently pending customer disputes. The Financial Industry…

Rex Securities Law
January 18, 2017
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Ty Bauer-Alexander Capital Broker-Discloses Customer Disputes-Oxford, MS

Ty Bauer-Alexander Capital Broker-Discloses Customer Disputes-Oxford, MS 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 January 18, 2017 May 15, 2018

January 2017- Oxford, MS According to publicly available records Ty Kevin Bauer , (CRD# 2150885) , a stockbroker who is currently employed by Alexander Capital, disclose 2 prior customer disputes. The Financial Industry Regulatory…

Rex Securities Law
August 14, 2016
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Francine A. Lanaia-Former Alexander Capital Broker-Named in Churning Complaint by Regulator

Francine A. Lanaia-Former Alexander Capital Broker-Named in Churning Complaint by Regulator 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 August 14, 2016 November 30, 2016

August 2016- Fort Salanga, New York The FINRA records of Francine A. Lanaia, a stock broker who is currently employed by Meyers Associates disclose a currently pending regulatory event, two prior regulatory events, a currently…

Rex Securities Law
July 16, 2016
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Raymond J. Pirrello-Former Garden State Securities Broker-Named in SEC Insider Trading Complaint

Raymond J. Pirrello-Former Garden State Securities Broker-Named in SEC Insider Trading Complaint 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 16, 2016 May 23, 2018

MARCH 2018 UPDATE-Pirrello Named in customer arbitration alleging churning. See this for details. May 2017 UPDATE-FINRA records disclose that Raymond J. Pirrello, Jr. has 9 prior final customer disputes and…