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Global Arena Capital Corp

Douglas Szempruch -Former Aegis Capital Corp. Broker-Suspended by FINRA-Melville, NY

Douglas Szempruch -Former Aegis Capital Corp. Broker-Suspended by FINRA-Melville, NY 150 150 ER

Douglas Szempruch Investigation Former Aegis Capital Financial Advisor November 2021 – Melville, NY According to publicly attained records, Douglas Szempruch, a stockbroker who is not currently registered  and who was last…

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Joseph Ambrosole- Former Joseph Stone Capital Advisor- Discloses Regulatory Events, 2 Customer Disputes and an IRS Lien – New York, NY

Joseph Ambrosole- Former Joseph Stone Capital Advisor- Discloses Regulatory Events, 2 Customer Disputes and an IRS Lien – New York, NY 150 150 ER

August 2021- New York, NY According to publicly available records,  Joseph Ambrosole a currently unregistered financial advisor who last worked for Joseph Stone Capital, discloses 4 prior regulatory events a…

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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…

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

Christopher A. Knutson-Aegis Capital Broker-Discloses Settlement of Customer Suit 150 150 Rex Securities Law

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…

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

Michael D. Teutonico Discloses Customer Arbitration-E.J. Sterling 150 150 Rex Securities Law

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…

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

Mark A. Lisser-Former Garden State Securities Broker- Subject of Customer Suits 150 150 Rex Securities Law

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…

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

Hector Perez a/k/a Bruce Johnson Barred From Securities Industry 150 150 Rex Securities Law

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…

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Global Arena Capital Brokers Sanctioned by Securities Regulators

Global Arena Capital Brokers Sanctioned by Securities Regulators 150 150 Rex Securities Law

September 15, 2015- Washington, D.C. In a news release the Financial Industry Regulatory Authority (FINRA) announced finding numerous securities violations, including making  misleading sales pitches and  account churning at the…

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