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churning by stock broker

James E. Lyons-Former Raymond James Broker-Subject of $5M Customer Suit-Shreveport, LA

James E. Lyons-Former Raymond James Broker-Subject of $5M Customer Suit-Shreveport, LA 150 150 Rex Securities Law

July 2018-Shreveport, LA The FINRA records of former Raymond James broker James Edward Lyons disclose that he was recently barred from the securities industry and 1 pending and 5 prior customer disputes…

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Alexander Capital Sanctioned For Allowing Brokers to Churn Brokerage Accounts

Alexander Capital Sanctioned For Allowing Brokers to Churn Brokerage Accounts 150 150 Rex Securities Law

MARCH 2019 Update–SEC enters consent judgement vs. William Gennity.  JULY 2018 The Securities and Exchange Commission (SEC) charged Alexander Capital and two of its managers for failing to supervise three…

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Raymond Pirrello, Jr.-Former Garden State Securities Stockbroker-Subject of Churning Suits-Sparta, NJ

Raymond Pirrello, Jr.-Former Garden State Securities Stockbroker-Subject of Churning Suits-Sparta, NJ 150 150 Rex Securities Law

Updated November  2018-Sparta, New Jersey The FINRA records of Raymond J. PIrrello, Jr. , a stockbroker who was last employed by Garden State Securities, disclose 2 final regulatory events , 1…

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