national securities corp complaints Archives - Page 2 of 2

Rex Securities Law
August 11, 2016
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John J. Santariello-Former Arive Capital Markets Broker-Discloses Customer Complaint Alleging Churning

John J. Santariello-Former Arive Capital Markets Broker-Discloses Customer Complaint Alleging Churning 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 11, 2016 October 11, 2019

October 2019- Coram, NY The FINRA records of John J. Santariello , a stock broker who is not currently registered with any broker dealer and who last worked for Arive Capital Markets, disclose …

Rex Securities Law
July 7, 2016
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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 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 7, 2016 July 10, 2016

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…

Rex Securities Law
July 7, 2016
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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 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 7, 2016 July 7, 2016

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.…

Rex Securities Law
May 13, 2016
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Levert Caldwell Named in Customer Arbitration-National Securities Corporation

Levert Caldwell Named in Customer Arbitration-National Securities Corporation 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 May 13, 2016 May 13, 2016

May 2016- Staten Island 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…

Rex Securities Law
May 13, 2016
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Geoffrey Garratt Named In Customer Arbitration-National Securities Corporation

Geoffrey Garratt Named In Customer Arbitration-National Securities Corporation 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 May 13, 2016 May 13, 2016

Rex Securities Law
May 10, 2016
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Nathaniel R. Clay-Former National Securities Corp Broker-Named in Customer Arbitration

Nathaniel R. Clay-Former National Securities Corp Broker-Named in Customer Arbitration 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 May 10, 2016 January 22, 2019

Updated January 2019-New York According to FINRA records, Nathaniel Royce Clay , a broker with Laidlaw & Company, discloses a pending customer dispute, 5 prior customer disputes, a termination from employment and…