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Stockbroker Malpractice

Legacy Wealth Advisers Sanctioned by Texas Securities Regulator – Waxahachie , TX

Legacy Wealth Advisers Sanctioned by Texas Securities Regulator – Waxahachie , TX 150 150 Rex Securities Law

July 2021- Waxahachie, TX  According to publicly available records,  Legacy Wealth Advisors, a registered investment  advisor located in Waxahachie, Texas, was recently reprimanded and fined $15,000 by the Texas State…

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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 Eleeza Rex

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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David Martirosian-Former Joseph Stone Capital Broker-Permanently Barred From FINRA- NYC, NY

David Martirosian-Former Joseph Stone Capital Broker-Permanently Barred From FINRA- NYC, NY 150 150 Eleeza Rex

July 2021- New York, NY According to publicly available records David Martirosian (CRD#5261144), a  former stockbroker who last worked for Joseph Stone Capital,  has been permanently barred from FINRA. The…

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Sun Hyung Kim-Former Kayan Securities Broker-Permanently Barred From FINRA- Los Angeles, CA

Sun Hyung Kim-Former Kayan Securities Broker-Permanently Barred From FINRA- Los Angeles, CA 150 150 Eleeza Rex

July 2021- Los Angeles, CA According to publicly available records Sun Hyung Kim (CRD#2053243), a  former stockbroker who last worked for Kayan Securities, Inc.,  has been permanently barred from FINRA.…

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Mark Barrand-Ameriprise Financial Broker-Discloses 4 Settled Customer Disputes and 2 Pending Disputes-Denver, CO

Mark Barrand-Ameriprise Financial Broker-Discloses 4 Settled Customer Disputes and 2 Pending Disputes-Denver, CO 150 150 Eleeza Rex

July 2021-Denver, CO According to publicly available records,  a broker currently employed by  Ameriprise Financial Services, Mark Barrand,  discloses  4 settled customer disputes and 2 pending customer disputes. The Financial…

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James Daughtry-Former Kestra Financial Services Broker-Permanently Barred From FINRA- Dothan, AL

James Daughtry-Former Kestra Financial Services Broker-Permanently Barred From FINRA- Dothan, AL 150 150 Eleeza Rex

July 2021- Dothan, AL According to publicly available records James Blake Daughtry (CRD#3272282), a  former stockbroker who last worked for Kestra Financial Services,  has been permanently barred from FINRA. The…

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Trevor Saliba-Former NMS Capital Advisor Broker-Permanently Barred From FINRA- Beverly Hills, CA

Trevor Saliba-Former NMS Capital Advisor Broker-Permanently Barred From FINRA- Beverly Hills, CA 150 150 Eleeza Rex

July 2021- Beverly Hills, CA According to publicly available records Trevor M. Saliba (CRD#2692057), a  former stockbroker who last worked for NMS Capital Advisors,  has been permanently barred from FINRA.…

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Evan Schottenstein-Former J.P. Morgan Broker-Permanently Barred From FINRA- New York, NY

Evan Schottenstein-Former J.P. Morgan Broker-Permanently Barred From FINRA- New York, NY 150 150 Rex Securities Law

July 2021- New York, NY According to publicly available records Evan Schottenstein (CRD#4929175), a  former stockbroker who last worked for J.P. Morgan Securities (JPMS),  has been permanently barred from FINRA.…

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John Calardo- Former Worden Capital Broker- Discloses $300K Pending Customer Suit Alleging Churning- NYC

John Calardo- Former Worden Capital Broker- Discloses $300K Pending Customer Suit Alleging Churning- NYC 150 150 Rex Securities Law

July 2020, New York, NY According to publicly available records John Calardo   (CRD# 6063938) ,  a  currently unregistered stockbroker who previously registered  with Four Points Capital Partners & Worden Capital Management,…

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