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penny stock litigation

Mark Beloyan of Tradespot Markets Suspended by Securities Regulators-Davie, FL

Mark Beloyan of Tradespot Markets Suspended by Securities Regulators-Davie, FL 150 150 Rex Securities Law

December 2016-Davie, FL The FINRA records of  Mark B. Beloyan,  a  stockbroker with Tradespot Markets, Inc. , disclose 3 prior regulatory events that are final and two financial disclosures. The Financial Industry Regulatory Authority…

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Bernard T. Weber-Feltl & Co. Broker-Discloses Pending Customer Complaint Alleging Churning

Bernard T. Weber-Feltl & Co. Broker-Discloses Pending Customer Complaint Alleging Churning 150 150 Rex Securities Law

MAY 2018 UPDATE-Minnetonka, MN According to FINRA records, Bernard T. Weber ,  a broker who has been  registered  with Feltl & Company since  12/2006 , discloses five prior customer disputes, two final regulatory…

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Jason Harris Klabal Investigation-Legend Securities Broker

Jason Harris Klabal Investigation-Legend Securities Broker 150 150 Rex Securities Law

FINRA records report that Jason Harris Klabal, who has been registered with Legend Securities since 8/2011, is named in a currently pending arbitration  (FINRA Case 15-484) by a customer who…

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Geoffrey Schiffrin, Finance 500 Broker Sanctioned for Penny Stock Sales

Geoffrey Schiffrin, Finance 500 Broker Sanctioned for Penny Stock Sales 150 150 Rex Securities Law

December 28, 2015- Delray Beach, Florida Geoffrey Schiffrin entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with…

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