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National Securities Corporation complaint

Christopher Kazan Discharged From Maxim Group After Customer Alleges Unsuitable Trading-S. Norwalk, CT
Christopher Kazan Discharged From Maxim Group After Customer Alleges Unsuitable Trading-S. Norwalk, CT 150 150 Rex Securities Law

May 2016-South Norwalk, CT 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…

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Pranav Patel-Former Dawson James Broker-Indicted for Securities Fraud-Boca Raton
Pranav Patel-Former Dawson James Broker-Indicted for Securities Fraud-Boca Raton 150 150 Rex Securities Law

UPDATE June 2016–Pranav Patel named in civil action seeking damages related to sale of ForceField Energy, Inc. Follow this link for more information.  May 2016-Boca Raton, FL The Financial Industry Regulatory…

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Gabriel Block Barred From Securities Industry-Oppenheimer & Co.-Red Bank, NJ
Gabriel Block Barred From Securities Industry-Oppenheimer & Co.-Red Bank, NJ 150 150 Rex Securities Law

MAY 2019 UPDATE–Gabriel Block found guilty of unethical and dishonest practices, fined $750,000 by NJ regulators and barred from securities industry by FINRA. See this for details.  May 2016- Red Bank, NJ…

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Robert Hardcastle Investigation-VSR Financial Services Stockbroker
Robert Hardcastle Investigation-VSR Financial Services Stockbroker 150 150 Rex Securities Law

Chesterfield, MO Rex Securities Law is investigating VSR Financial Services broker Robert B. Hardcastle  in connection with the sale of fixed annuities, mutual funds, equities,  limited partnerships, direct investments in oil & gas,  and…

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Zachary Bader-Former Craig Scott Capital Broker Barred From Industry for Churning Customer Account
Zachary Bader-Former Craig Scott Capital Broker Barred From Industry for Churning Customer Account 150 150 Rex Securities Law

November 13, 2015-Melville NY Rex Securities Law is investigating options for recovery for investors who suffered damages in brokerage accounts handled by Zachary T. Bader. Zachary Bader , entered into a Letter…

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David James LeDoux-Boca Raton StockBroker Sanctioned For Failing to Report Tax Liens
David James LeDoux-Boca Raton StockBroker Sanctioned For Failing to Report Tax Liens 150 150 Rex Securities Law

June 2, 2015-Boca Raton, FL David James LeDoux ,  entered into a Letter of Acceptance Waive and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  he failed…

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