March 29, 2016-Garland, Texas The Texas State Securities Board (TSSB) announced that Derek A. Nelson was sentenced to 19 years in connection with a $37 million fraud he operated selling…
read moreMarch 28, 2016-Hot Springs, Arkansas According to FINRA records, G.A. Repple broker Richard S. Sadowski has 13 customer disputes reported, including: FINRA Case No 13-3205– A customer alleged that Sadowski,…
read moreFINRA records report that Salvatore Pizzimenti , who has been registered with Legend Securities since 8/2011 , has been named in four customer disputes that have been resolved, including: FINRA Case 12-2703 filed while Pizzimenti…
read moreSeptember 2019-New York FINRA records disclose that John S. Cangialosi, who is currently registered with Worden Capital Management, has two prior regulatory events, a currently pending customer dispute, 7 prior customer…
read moreFINRA records report that Daren Dorval, who has been registered with Legend Securities since 9/2009, is named in a 3 currently pending arbitrations: FINRA Case 15-802 filed by a Florida…
read moreFINRA 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…
read moreIf you suffered losses on GT Advanced Technologies (GTAT) purchased from Legend Securities we may able to help you recover damages through FINRA arbitration. GT Advanced Technologies which traded at nearly…
read moreFebruary 10, 2016 Legend Securities entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from October 2010 to…
read moreIf you have losses on private placement investments or exchange traded funds (ETFs) purchased from World Equity Group, we may be able to help you recover damages. World Equity Group…
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