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JHS Capital Advisors

Michael J. Pepe-Ameriprise Broker-Subject of $750,000 Customer Suit-Tampa, FL

Michael J. Pepe-Ameriprise Broker-Subject of $750,000 Customer Suit-Tampa, FL 150 150 Rex Securities Law

August 2018-Tampa, Florida The FINRA records of  Michael J. Pepe,  a  stock broker who is currently employed by Ameriprise Financial Services ,  disclose a recently filed customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…

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Marcello Lattuca-Former JHS Capital Broker-Discloses Pending Customer Arbitration

Marcello Lattuca-Former JHS Capital Broker-Discloses Pending Customer Arbitration 150 150 Rex Securities Law

August 2016- Massapequa, NY The FINRA records of Marcello Lattuca ,  a  stock broker who is currently  employed by NBC Securities  disclose a currently pending customer dispute and a prior customer dispute. The Financial Industry Regulatory Authority…

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Dennis H. Cambal-Former JHS Capital Broker-Discloses Regulatory Action & Customer Disputes

Dennis H. Cambal-Former JHS Capital Broker-Discloses Regulatory Action & Customer Disputes 150 150 Rex Securities Law

August 2016- Yarmouth, MA The FINRA records of Dennis H. Cambal ,  a  stock broker who is currently  employed by NBC Securities  disclose a prior regulatory event and 9 prior customer disputes. The Financial Industry Regulatory Authority…

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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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JHS Capital Advisors Broker Thomas Oliphant Sanctioned by FINRA

JHS Capital Advisors Broker Thomas Oliphant Sanctioned by FINRA 150 150 Rex Securities Law

To resolve allegations that he failed to respond to a FINRA regulatory investigation related to borrowing money from customers, Thomas A. Oliphant of Waxahachie, TX, was assessed a deferred fina of…

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Enver Alijaj- JHS Capital Securities Broker Hit with $1 Million Arbitration Award for Churning

Enver Alijaj- JHS Capital Securities Broker Hit with $1 Million Arbitration Award for Churning 150 150 Rex Securities Law

UPDATE ON ENVER ALIJAJ INVESTIGATION-See this for details on currently pending customer disputes and other disclosure items on Enver Alijaj.    A Financial Industry Regulatory Authority arbitration panel in Albuquerque,…

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