fbpx

First Midwest Securities

James Parrelly-Former Investment Planners Broker- Discloses 3 Regulatory Events, 7 Final Customer Disputes, 1 Pending Customer Dispute and a Termination-Dearborn, MI

James Parrelly-Former Investment Planners Broker- Discloses 3 Regulatory Events, 7 Final Customer Disputes, 1 Pending Customer Dispute and a Termination-Dearborn, MI 150 150 Rex Securities Law

July 2021- Dearborn, MI According to publicly available records James Parrelly (CRD#728368), an unregistered broker who last worked for Investment Planners, Inc.,  discloses 3 regulatory events,  7 final customer disputes,…

read more

Erik Pica-Joseph Stone Capital Broker-Discloses Customer Disputes & FINRA Investigation- New York, NY

Erik Pica-Joseph Stone Capital Broker-Discloses Customer Disputes & FINRA Investigation- New York, NY 150 150 Rex Securities Law

October 2019 – New York, New York The FINRA records of Erik Patrick Pica  , a  stockbroker who is employed by Joseph Stone Capital , disclose 3 pending customer dispute, 4 prior customer disputes and a…

read more

Ahmad Wares- Former Salomon Whitney Financial Broker- Discloses Customer Suits and Termination- Melville, NY

Ahmad Wares- Former Salomon Whitney Financial Broker- Discloses Customer Suits and Termination- Melville, NY 150 150 Rex Securities Law

June 2019 – Melville, NY According to publicly available records, Ahmad Wares,  a financial advisor previously with Laidlaw & Company discloses 1 pending and 9 prior customer disputes, and a…

read more

Stephen Sullivan-Former Newbridge Securities Broker-Subject of $500K Customer Suit-Melville, NY

Stephen Sullivan-Former Newbridge Securities Broker-Subject of $500K Customer Suit-Melville, NY 150 150 Rex Securities Law

August 2018-Melville, New York According to FINRA records,  Stephen J. Sullivan,   a stockbroker who currently works for SW Financial (formerly Salomon Whitney Financial) ,   discloses  a prior regulatory event, a pending customer dispute, a…

read more

David G. Menashe-Former Joseph Stone Capital Broker-Sanctioned by Securities Regulator for Excessive Trading-New York

David G. Menashe-Former Joseph Stone Capital Broker-Sanctioned by Securities Regulator for Excessive Trading-New York 150 150 Rex Securities Law

July 2017-New York The FINRA records of  David G. Menashe ,  a  stockbroker who is currently  employed by  Newbridge Securities Corp. , disclose a  prior regulatory event. The Financial Industry Regulatory Authority…

read more

Joshua L. Feldman-Aegis Capital Broker-Discloses Customer Disputes

Joshua L. Feldman-Aegis Capital Broker-Discloses Customer Disputes 150 150 Rex Securities Law

New York MAY 2018 UPDATE–The FINRA records  of Joshua Feldman disclose settlement of   FINRA arbitration 17-0218, filed by a customer of Aegis Capital Corp who was seeking damages of $110,000 . The customer…

read more

Neil Pecker of Deerfield Beach, FL, Ordered to Pay Millions in Fines/Restitution

Neil Pecker of Deerfield Beach, FL, Ordered to Pay Millions in Fines/Restitution 150 150 Rex Securities Law

UPDATE MARCH 2017-Deerfield Beach, FL Public records disclose that on March 8, 2017, in an action filed by the U.S. Commodity Futures Trading Commission in the U.S. District Court for…

read more

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…

read more