fbpx

Broker Discloses Personal Bankruptcy

James D’Meo-Former Kenneth, Jerome & Co., Inc. Broker- Permanently Barred from FINRA

James D’Meo-Former Kenneth, Jerome & Co., Inc. Broker- Permanently Barred from FINRA 150 150 Rex Securities Law

March 2020- Florham Park, NJ According to publicly available records.  James D. D’Meo, (CRD#1444759), a  former stockbroker who last worked for Kenneth, Jerome & Co., Inc.,  discloses 2 regulatory events,…

read more

Jack D. Stone-Former Forest Securities Broker-Discloses Customer Disputes & Regulatory Issues-Hillside, IL

Jack D. Stone-Former Forest Securities Broker-Discloses Customer Disputes & Regulatory Issues-Hillside, IL 150 150 Rex Securities Law

September 2019 – Hillside, IL The FINRA records of Jack David Stone  , a former stockbroker who was last employed by  Forest Securities, Inc. , disclose 4 regulatory events, 1 pending customer dispute, 2 prior customer…

read more

Michael Venturino-Former Aegis Capital/Trident Partners Broker-Subject of $1.2M Customer Suit-Garden City, NY

Michael Venturino-Former Aegis Capital/Trident Partners Broker-Subject of $1.2M Customer Suit-Garden City, NY 150 150 Rex Securities Law

January 2019- Garden City, NY According to publicly available records Michael Christopher Venturino ,  a  stockbroker who is currently employed by Spartan Capital Securities and was formerly employed by Aegis Capital Corp. and…

read more

Ernest Romer III-Former CoreCap Investments Broker-Alleged to Have Stolen Funds from Securities Customers-Sterling Heights, MI

Ernest Romer III-Former CoreCap Investments Broker-Alleged to Have Stolen Funds from Securities Customers-Sterling Heights, MI 150 150 Rex Securities Law

APRIL 2018 UPDATE–The FINRA record of Ernest Romer III now discloses 15 pending customer disputes and 5 prior final customer disputes and 2 pending investigations. The investigations by Michigan Department…

read more

Steven E. Blanke-Capital Financial Services Broker-Discloses Customer Disputes-Garland, TX

Steven E. Blanke-Capital Financial Services Broker-Discloses Customer Disputes-Garland, TX 150 150 Rex Securities Law

May 2017-Garland, TX The FINRA records of  Steven Earle Blanke ,  a  stockbroker who is currently registered with Capital Financial Services disclose a pending customer dispute, a prior final customer dispute and a prior financial event.…

read more

Gary Edward Morse-Former Celadon Financial Group Broker-Discloses Tax Liens-Boca Raton, FL

Gary Edward Morse-Former Celadon Financial Group Broker-Discloses Tax Liens-Boca Raton, FL 150 150 Rex Securities Law

MARCH 2018 UPDATE–Gary E. Morse left Celadon Financial Group 8/2017 and is currently registered with Precision Securities. His FINRA records disclose  currently  outstanding liens owed to the Internal Revenue Service…

read more

Eddie Basora Jr.-Former Merrimac Broker-Named in Regulatory Complaint

Eddie Basora Jr.-Former Merrimac Broker-Named in Regulatory Complaint 150 150 Rex Securities Law

March 2017-Altamonte Springs, Florida According to publicly available records Eddie Basora, Jr.  , (CRD# 4388378) ,  a   former stockbroker who last worked for Merrimac Corporate Securities has been named in a complaint filed…

read more