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Stockbroker Discharged

Steve J. Pabon-Joseph Stone Broker-Discloses Pending Customer Dispute-Syosset,NY
Steve J. Pabon-Joseph Stone Broker-Discloses Pending Customer Dispute-Syosset,NY 150 150 Rex Securities Law

July 2017- Syosset, New York The FINRA records of  Steve J. Pabon,  a  stock broker who is currently employed by Joseph Stone Capital ,  disclose  a currently pending customer dispute and a prior termination from…

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Craig D. Dima-Former K.C. Ward Financial Broker-Barred From Securities Industry
Craig D. Dima-Former K.C. Ward Financial Broker-Barred From Securities Industry 150 150 Rex Securities Law

June 2017- Ronkonkoma, NY The FINRA records of Craig D. Dima ,  a former  stock broker who was last employed by K. C. Ward Financial  disclose 3 prior regulatory events,  5 prior customer disputes, 2…

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George P. Koulouris-KCD Financial Broker-Discloses Customer Disputes-Manlius, NY
George P. Koulouris-KCD Financial Broker-Discloses Customer Disputes-Manlius, NY 150 150 Rex Securities Law

August 2016- Manlius, NY The FINRA records of George P. Koulouris ,  a  stock broker who is currently  employed by KCD Financial, Inc.  disclose a prior regulatory event, 6 prior customer disputes, one currently pending customer dispute…

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John R. Stevens-Former Wilbanks Securities Broker-Discloses Customer Disputes Alleging Damages in Excess of $2M
John R. Stevens-Former Wilbanks Securities Broker-Discloses Customer Disputes Alleging Damages in Excess of $2M 150 150 Rex Securities Law

Grand Junction, CO The FINRA records of John R. Stevens ,  a  stock broker who is currently not licensed and who was last employed by Wilbanks Securities  disclose   2 prior customer disputes, 3 pending…

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Michael B. Inderlied-Former Wilbanks Securities Broker-Discloses Customer Disputes & Terminations
Michael B. Inderlied-Former Wilbanks Securities Broker-Discloses Customer Disputes & Terminations 150 150 Rex Securities Law

August  2016-Frisco, Texas The FINRA records of Michael B. Inderlied ,  a  stock broker who is currently not licensed and who was last employed by Adirondack Trading Group   disclose  a prior regulatory event, 2 prior customer…

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Jamie D. Pope-Former Wilbanks Securities Broker-Discloses Permanent Bar from Industry & Discharge
Jamie D. Pope-Former Wilbanks Securities Broker-Discloses Permanent Bar from Industry & Discharge 150 150 Rex Securities Law

August  2016-Winter Park, Florida The FINRA records of Jamie D. Pope ,  a  stock broker who has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to…

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Hank Werner-Former Legend Securities Broker-Discloses Investigation for Churning Account of Blind & Disabled Widow
Hank Werner-Former Legend Securities Broker-Discloses Investigation for Churning Account of Blind & Disabled Widow 150 150 Rex Securities Law

August  2016-New York The FINRA records of Hank M. Werner ,  a  currently unlicensed stock broker who was most recently employed by Legend Securities Inc.  , discloses a pending FINRA investigation in which he was charged with…

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Rodney B. Ibrahim-Former Maxim Group Stock Broker-Discloses Discharge from Employment
Rodney B. Ibrahim-Former Maxim Group Stock Broker-Discloses Discharge from Employment 150 150 Rex Securities Law

August  2016-NewYork The FINRA records of Rodney B. Ibrahim ,  a  stock broker who is currently  employed  by Aegis Capital Corp.  , disclose a separation from employment after allegations. The Financial Industry Regulatory Authority (FINRA) is the agency that…

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Steve D. Heath-Former LPL Financial Broker-Discloses Termination From Employment
Steve D. Heath-Former LPL Financial Broker-Discloses Termination From Employment 150 150 Rex Securities Law

July 2016-Newport News, VA The FINRA records of Steve D. Heath ,  a  stock broker who is currently  employed  by Capitol Securities Management  , disclose 2 terminations and one final financial event. The Financial Industry Regulatory Authority (FINRA) is…

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