Category Archives: Global Arena Capital Corp

Christopher A. Knutson-Aegis Capital Broker-Discloses Settlement of Customer Suit

April 2017- Melville, NY

According to publicly available records Christopher A. Knutson , (CRD# 2997006) ,  a  stockbroker who is currently registered with Aegis Capital Corp.  discloses settlement of a customer dispute.

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 as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

In 4/2016 a customer of Aegis Capital Corp. alleged damages of $175,000 for misrepresentation concerning an investment in a private placement made November 2014-April 2016.In 11/2018 that case was settled for $110,000.

Knutson has been employed by Aegis Capital since 8/2014. His prior employment includes Global Arena Capital, Prestige Financial Center and S. W. Bach & Company

If you have questions about an account handled by Christopher A. Knutson , call to discuss your options.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Michael D. Teutonico Discloses Customer Arbitration-E.J. Sterling

May 2016- Lynbrook, 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 disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

According to FINRA recordsMichael D.Teutonico discloses a pending customer dispute. In FINRA Case 15-2792, a customer alleges that while Teutonico was registered with Global Arena Capital his account was traded excessively, over concentrated, over margined and unsuitable investments were made. Damages are alleged to be $206,000.

According to FINRA records, Teutonico  is currently registered with Network 1 Financial Securities.  He was previously registered with E.J. Sterling from 5/2014-10/2015. He was registered with Global Arena Capital from 5/2011-5/2014. FINRA expelled Global Arena Capital  in January 2016.

If you have losses in an account handled by Michael D.Teutonico contact us to learn how you may be able to recover damages through FINRA arbitration.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Mark A. Lisser-Former Garden State Securities Broker- Subject of Customer Suits

September 2019

FINRA records disclose that former Garden State Securities stockbroker Mark A. Lisser has two pending customer disputes , 5 prior customer disputes and a termination from employment.

  • FINRA Case 15-02008– a customer of Global Arena Capital alleges unsuitable investments, churning, excessive use of margin and seeks damages of $61,458.
  • FINRA Case 14-03824-a customer of Global Arena Capital alleges excessive trading, excess and improper use of margin and seeks damages of $109,000.

The prior customer disputes that have been resolved include:

FINRA case 14-3210 in which a customer of Global Arena Capital was paid $25,000 to resolve allegations that Lisser made unsuitable recommendations and excessive use of margin.

FINRA Case 14-0080- customer alleged churning, unsuitability, breach of fiduciary duty and other claims while Lisser was employed by Global Arena Capital Corp. That case was settled for $160,000.

Lisser was employed by Global Arena Capital from 11/2010-12/2014. Global Arena Capital was expelled by FINRA 1/2016. Lisser was last employed by Garden State Securities from 12/2014-4/2016. Lisser was discharged by Garden State Securities due to pending and historical customer complaints and is not currently registered with any broker dealer.

If you have questions about an account handled by Mark A. Lisser, call to speak with an experienced securities attorney.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Hector Perez a/k/a Bruce Johnson Barred From Securities Industry

July 1, 2015

Hector Perez , a/k/a Bruce Johnson  entered into a settlement with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between December 2009 and February 2011, he and five other individuals fraudulently sold nearly $3 million worth of Senior Secured Zero Coupon Notes issued by Metals, Milling and Mining LLC in a private offering. The investors, who were promised a return of 100 percent in one year lost all their money.

FINRA alleged that Perez failed to conduct a reasonable investigation of the viability and legitimacy in the face of numerous red flags indicating that the offering was a fraud.

Disciplinary Proceeding No. 2010024522103

Perez  was  barred from the securities industry.

According to FINRA records, Perez was registered with HFP Capital Markets from 2/2009-10/2013. HFP was expelled by FINRA 6/2014. Perez was registered with Global Arena Capital from 10/2013-6/2015 and with Rockwell Global Capital from 6/2015-6/2015.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870