January 2019 – Austin, TX According to publicly available records Trevor Martin Carney (CRD#5657735) , a stockbroker who is currently registered with Ascendant Alternative Strategies , disclose a Regulatory Event and two currently outstanding judgment/liens.…
read moreMarch 2019-Austin, TX According to publicly available records Jennifer Ling , a stockbroker who is not currently registered and who was last registered with Axiom Capital Management, and before that Fidelity…
read moreJUNE 2017- Austin, Texas According to publicly available records Trevor M. Carney (CRD#5657735) , a stockbroker who is employed by Ascendant Alternative Strategies, discloses a recent regulatory event and two outstanding judgment/liens. The Financial…
read moreMay 2018 UPDATE-In April 2018 an arbitration panel in Hartford, CT, dismissed the claims against Mark Martino and recommended expungement of all references to FINRA arbitration 17-01008 (see below) from…
read moreAugust 2016-Westbury, New York The FINRA records of Kristopher R. Tung , a stock broker who is currently employed by Axiom Capital Management , discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that…
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