Category Archives: Broker Disclosing Outstanding Liens/Judgments

Broker Discloses Personal Bankruptcy, Broker Disclosing Outstanding Liens/Judgments, Jerome and Co., Kenneth, Stockbroker Discharged, Stockbroker Malpractice, StockBroker Misconduct

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

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, 11 outstanding judgement/liens and a termination from employment.

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 as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

In 12/2019  D’Meo was permanently barred from the securities industry after D’Meo failed timely to provide documents and information requested by FINRA and refused to appear one-the-record testimony as requested by FINRA, as part of an investigation into his financial disclosures.

In 12/2018, Kenneth, Jerome & Co., Inc., discharged D’Meo after allegations of failure to disclose reportable personal financial events as discovered by FINRA in a search of public records.

D’Meo discloses 11 outstanding judgement/liens.

D’Meo was employed by Kenneth, Jerome & Co., Inc. from June 2013 until December of 2018.     Prior to that time he was with Equity Services, Inc.

If you had an account with James D’Meo that suffered losses, you may be entitled to collect damages from his prior employer. Call to discuss your options.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Broker Disclosing Outstanding Liens/Judgments, Failure to Supervise, Legend Securities, Misrepresentation, National Securities Corporation, StockBroker Misconduct, Worden Capital Management

Christopher Orlando- Worden Capital Management Broker- Discloses Pending Customer Dispute-New York, NY

July 2019- New York, NY

The FINRA records of  Christopher G. Orlando ,  a  financial advisor employed by  Worden Capital Management disclose a pending customer dispute and an outstanding tax lien.

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 as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

In February of 2019, FINRA case #19-00369 was filed by a customer of Worden Capital Management alleging excessive trading, churning and unsuitable transactions.    Alleged damages are $70,766 and the case is pending.

Orlando  discloses a New York State tax lien in the amount of $17,156, filed in Richmond, NY.

Christopher Orlando has been registered with Worden Capital Management since November of 2016 . His prior employment in the financial industry includes Legend Securities, Inc. , National Securities Corporation and Joseph Gunnar & Co. 

If you have losses in an account  handled by Christopher Orlando , contact us for a no charge consultation to learn how you may be able to recover damages through FINRA arbitration.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Broker Disclosing Outstanding Liens/Judgments, Failure to Supervise, Finra Investigation of Stockbroker, Laidlaw & Company, Rockwell Global Capital, Stockbroker Malpractice, StockBroker Misconduct, Unsuitable Investments, Worden Capital Management

Abed William Lulu-Former Worden Capital Broker- Discloses 6 Regulatory Event & Customer Suits – Melville, NY

June 2019-Melville, NY

The FINRA records of  Abed William Lulu ,  a  financial advisor previously employed by  Worden Capital Management disclose 6 regulatory events,  3 prior customer disputes, 4 outstanding judgments.

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 as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

Prior regulatory events for Lulu include:

FINRA case # 2017055568801 filed in 2/2018-Lulu failed to request termination of his previous suspension within the required time frame and was permanently barred from association with any FINRA member in any capacity.

FINRA case 2014040347901 was filed in 1/2016.   Without admitting or deny the findings, Lulu consented to the entry of findings that he failed to disclose that he was the subject of an IRS tax lien and a New York State tax lien.  He also provided false information to his member firm stating that he had no judgments or liens against him.   Lulu received a three month suspension and $5,000 fine.

In 2004,  the Colorado Division of Securities suspended Lulu as sanctions for allegations of unsuitable trading, unauthorized trading, unfair and dishonest dealings, securities fraud and failure to supervise.

In 8/2017,  a Laidlaw and Company (UK) Ltd. customer filed FINRA case #17-02227 alleging unsuitability and excessive trading.   That case settled for $23,000.

Lulu  discloses outstanding 2 currently outstanding Federal & StateTax Liens and 2 civil judgments.

Abed Lulu was registered with Worden Capital Management  from May to August of 2016.  . His prior employment in the financial industry includes Rockwell Global Capital, Rockwell Global Capital, Laidlaw and Company and Global Arena Capital.

If you have losses in an account  handled by Abed William Lulu , contact us for a no charge consultation to learn how you may be able to recover damages through FINRA arbitration.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Broker Disclosing Outstanding Liens/Judgments, Capital Investment Group, IFS Securities, NYLife Securities, StockBroker Misconduct, Voya (formerly ING)

Pamela Jo Lizanich (Kramer)-Former VOYA Financial Advisor-Discloses Customer Disputes Over LP’s & Direct Investments-Greenville, S. Carolina

January 2020-Greenville, S. Carolina

According to publicly available records Pamela Jo Lizanich (Pamela Jo Kramer)  ,  a  stockbroker who is currently registered with NY Life Securities,  disclose 2 currently pending customer disputes.

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 as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

In 11/2019 a customer of her prior employers VOYA Financial and Capital Investment Group filed FINRA case 19-03304 alleting that Lizanich made unsuitable recommendations in alternative investments, including REITs and Oil and Gas partnerships. The customer seeks damages of between $100,000-$500,000.

In 10/2019 a customer of VOYA Financial file FINRA case 19-02999 alleging that Lizanich caused damages in excess of $100,000 as a result of recommending unsuitable investments in real estate securities.

Pamela Jo Lizanich (Kramer) has been registered with NY Life Securities since 7/2018. Prior to that she was registered with IFS Securities (3/2017-3/2018) and VOYA Financial Services (6/2013-2/2017).Prior to that she worked for Capital Investment Group.

James T Flynn & Ashley Woodard

Lizanich worked with former VOYA Financial brokers James T. Flynn and Ashley Woodard in the Greenville metropolitan area. Our firm is currently pursuing a number of cases on behalf of former customers of Flynn and Woodward who suffered losses on limited partnerships and other direct investments. See this for more information. 

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Broker Disclosing Outstanding Liens/Judgments, Capital Investment Group, IFS Securities, NYLife Securities, Stockbroker Malpractice, Unsuitable Investments, Voya (formerly ING)

Ashley Woodard-Former VOYA Financial Broker-Subject of Customer Suits Over Illiquid Investments-Greenville, South Carolina

January 2020 – Greenville, South Carolina

According to publicly available records  Ashley Charles Woodard  ,  a  stockbroker previously employed by VOYA Financial,  discloses 7 pending customer disputes, one prior customer dispute and an outstanding judgment lien.

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 as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

The pending customer claims involving Mr. Woodard include:

  • FINRA case 19-3304-filed in 11/2019 by a customer of VOYA Financial and Capital Investment Group alleging unsuitable recommendations in illiquid alternative investments. The customer seeks damages of $100,000.
  • FINRA case 19-0624-In 3/2019 a customer of his prior employers, Voya Financial Advisors  and IFS Securities, alleged that Woodard advised him to liquidate his entire portfolio and invest in unsuitable, high risk, high fee and illiquid investments. The investments include annuities, direct investments, limited partnerships and real estate securities. This matter is currently pending. No amount of damages is specified.
  • FINRA Case 19-01031-  Customer of VOYA and IFS Securities seeks damages of $100,000 for losses related to unsuitable recommendation to invest in illiquid real estate security.
  • FINRA Case 19-0930-Customer of VOYA, IFS and Capital Investment Group seeks damages of $1 million for unsuitable recommendations to invest in private placements.
  • FINRA Case 19-01067-Customer of VOYA, IFS and Capital Investment Group seeks damages of between $1 million & $5 million for unsuitable recommendation to invest in illiquid limited partnerships and real estate securities.

Woodard also discloses a currently outstanding lien in favor of the Internal Revenue Service in the amount of $53,676, for tax years 2014,2015, and 2016. The lien is recorded in the Recorder Office of Greenville County, South Carolina.

Woodard is currently employed by NY Life Securities. His prior employment history includes: IFS Securities 2/2017-11/2017, Voya Financial Advisors 6/2013-2/2017 and Capital Investment Group 7/2011-6/2013.

Woodard discloses business affiliations with West End Financial Strategies and Eagle Strategies.

If you have losses in an account handled by Ashley C. Woodard, contact us for a no charge consultation to learn how you may be entitled to recover damages through FINRA arbitration.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870