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Discretionary Trading

Nathan Katz- Former American Independent Securities Broker- Discloses Regulatory Event and Customer Suits-Largo, FL

Nathan Katz- Former American Independent Securities Broker- Discloses Regulatory Event and Customer Suits-Largo, FL 150 150 Rex Securities Law

September 2021- Largo, FL  According to publicly available records,  Nathan G. Katz a former financial advisor who was previously registered with American Independent Securities Group, discloses a regulatory event barring him from…

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Brett Briggs-Western International Securities Broker- Permanently Barred from FINRA- Bolton, MA

Brett Briggs-Western International Securities Broker- Permanently Barred from FINRA- Bolton, MA 150 150 ER

August 2021- Bolton, MA According to publicly available records,  Brett Briggs a broker currently employed by Western International Securities, Inc. discloses 5 regulatory events and 5 prior customer disputes. The Financial…

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Mark Just – Former Triad Advisors Broker-Discloses Regulatory Event & Customer Suits- Indianapolis, IN

Mark Just – Former Triad Advisors Broker-Discloses Regulatory Event & Customer Suits- Indianapolis, IN 150 150 ER

August 2021 – Indianapolis, IN According to publicly available records of Mark William Just (CRD#1138738) ,  a broker who was last employed with Triad Advisors, Inc.,  discloses  a regulatory event, a…

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Kevin David Barton-Crown Capital Securities Broker-Discloses Regulatory Event and 11 Tax Liens-Vista, CA

Kevin David Barton-Crown Capital Securities Broker-Discloses Regulatory Event and 11 Tax Liens-Vista, CA 150 150 ER

July 2021- Vista, CA According to publicly available records of Kevin David Barton   (CRD#2542056) ,  a broker employed with Crown Capital Securities,  discloses  a regulatory event and 11 tax liens. The…

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Paul Spero- Cadaret, Grant & Co. Financial Advisor- Discloses Regulatory Events- Syracuse, NY

Paul Spero- Cadaret, Grant & Co. Financial Advisor- Discloses Regulatory Events- Syracuse, NY 150 150 ER

July 2021- Syracuse, NY According to publicly available records,  Paul Spero a broker with Cadaret, Grant & Co. discloses a regulatory event. The Financial Industry Regulatory Authority (FINRA) is the agency that…

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Scott Fergang- Former RBC Capital Markets Broker- Discloses Regulatory Event, Customer Dispute and a Termination- Hackensack, NJ

Scott Fergang- Former RBC Capital Markets Broker- Discloses Regulatory Event, Customer Dispute and a Termination- Hackensack, NJ 150 150 ER

July 2021- Hackensack , NJ According to publicly available records,  Scott Fergang,  a financial advisor who previously was employed by RBC Capital and who now works for Stifel, Nicolaus , discloses…

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Charles Kenahan-Former Merrill Lynch Broker-Discloses over $60M in Settlements of Customer Disputes- Boston, MA

Charles Kenahan-Former Merrill Lynch Broker-Discloses over $60M in Settlements of Customer Disputes- Boston, MA 150 150 Rex Securities Law

August 2021- Boston, MA According to publicly available records, former Merrill Lynch, Pierce, Fenner & Smith  financial advisor Charles Kenahan,  discloses 2 regulatory events, 4 final customer disputes, one pending…

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Adam Goodman-Stoever Glass & Co. Broker-Sued for $500K-Boca Raton, FL

Adam Goodman-Stoever Glass & Co. Broker-Sued for $500K-Boca Raton, FL 150 150 Rex Securities Law

April 2021- Boca Raton, FL The FINRA records of  Adam C. Goodman ,  a  registered stock broker who recently left Herbert J. Sims to join Stoever, Glass & Co. ,  disclose  2 pending customer…

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Andrew “Andy” Grant- Laidlaw & Co. Broker- Discloses Regulatory Event- Melville, NY

Andrew “Andy” Grant- Laidlaw & Co. Broker- Discloses Regulatory Event- Melville, NY 150 150 Rex Securities Law

October  2020- Red Bank, NJ According to publicly available records Andrew “Andy” Grant (CRD#2709882), a stockbroker employed with  Laidlaw & Company,  discloses a regulatory event. The Financial Industry Regulatory Authority…

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