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Avenir Financial Group

Sperry R. Younger-NMS Capital Advisors Broker-Discloses Customer Dispute

Sperry R. Younger-NMS Capital Advisors Broker-Discloses Customer Dispute 150 150 Rex Securities Law

July 2016-New York The FINRA records of Sperry R. Younger ,  a stock broker who is currently employed by NMS Capital Advisors, LLC, disclose  a currently pending regulatory event, a currently pending customer dispute,  3 prior…

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Glen Rauch-Former Avenir Financial Broker-Accused of Harassment and Unauthorized Trading

Glen Rauch-Former Avenir Financial Broker-Accused of Harassment and Unauthorized Trading 150 150 Rex Securities Law

UPDATE SEPTEMBER 2016-FINRA named Glen J. Rauch in a complaint alleging that following his termination from registration(see below) he repeatedly sent abusive, obscene, intimidating and threatening messages to a principal of…

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Salvatore Gioe- Former PHX Financial Broker-Barred From Securities Industry

Salvatore Gioe- Former PHX Financial Broker-Barred From Securities Industry 150 150 Rex Securities Law

February 2019- New York 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…

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Marlon Cole Named in Customer Arbitration Dispute-Legend Securities Broker

Marlon Cole Named in Customer Arbitration Dispute-Legend Securities Broker 150 150 Rex Securities Law

May 2016 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…

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Richard Gomez Investigation Update-Avenir Financial-Legend Securities

Richard Gomez Investigation Update-Avenir Financial-Legend Securities 150 150 Rex Securities Law

April 2016- New York 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…

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Karim Ibrahim (Chris Allen) Investigation-Avenir Financial/Legend Securities

Karim Ibrahim (Chris Allen) Investigation-Avenir Financial/Legend Securities 150 150 Rex Securities Law

April 2016- Orangeburg, NY 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…

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David A. Allen-Former Avenir Financial Broker-Discloses Customer Disputes-Boston

David A. Allen-Former Avenir Financial Broker-Discloses Customer Disputes-Boston 150 150 Rex Securities Law

April 2016- Boston 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…

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Enver Alijaj-Investigation Update-Former Legend Securities Broker

Enver Alijaj-Investigation Update-Former Legend Securities Broker 150 150 Rex Securities Law

April 13, 2016 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…

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Richard Gomez Investigation-Former Legend Securities Broker

Richard Gomez Investigation-Former Legend Securities Broker 150 150 Rex Securities Law

FINRA records report that Richard Gomez , of New York,  who is not currently registered, is currently  named in two customer disputes: FINRA Case 16-0035 filed by a Florida resident against Gomez while he…

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