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Maxim Group LLC

Tyre F. Newsome-Former Cape Securities Broker-Discloses Termination and Outstanding IRS Lien-New York

Tyre F. Newsome-Former Cape Securities Broker-Discloses Termination and Outstanding IRS Lien-New York 150 150 Rex Securities Law

July 2017-New York According to publicly available records Tyre F. Newsome , (CRD# 4812894) ,  a   stockbroker who is  currently registered with Windsor Street Capital , disclose  a prior customer dispute,…

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Rodney B. Ibrahim-Former Maxim Group Stock Broker-Discloses Discharge from Employment

Rodney B. Ibrahim-Former Maxim Group Stock Broker-Discloses Discharge from Employment 150 150 Rex Securities Law

August  2016-NewYork The FINRA records of Rodney B. Ibrahim ,  a  stock broker who is currently  employed  by Aegis Capital Corp.  , disclose a separation from employment after allegations. The Financial Industry Regulatory Authority (FINRA) is the agency that…

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Steven R. Luftschein-Aegis Capital Broker-Discloses $2M Customer Dispute

Steven R. Luftschein-Aegis Capital Broker-Discloses $2M Customer Dispute 150 150 Rex Securities Law

July 2016-Melville, New York The FINRA records of Steven R. Luftschein ,  a  stock broker currently employed  by Aegis Capital Corp. , disclose a pending customer dispute and 11 prior final customer disputes. The Financial Industry Regulatory…

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Daniel J. O’Neill-Aegis Capital Broker-Discloses Pending Customer Dispute and Outstanding Liens

Daniel J. O’Neill-Aegis Capital Broker-Discloses Pending Customer Dispute and Outstanding Liens 150 150 Rex Securities Law

July 2016-Melville, New York The FINRA records of Daniel J. O’Neill ,  a  stock broker currently employed  by Aegis Capital Corp. , disclose a pending customer dispute, a prior final financial event and 3 outstanding judgment/liens. The…

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Christopher Kazan Discharged From Maxim Group After Customer Alleges Unsuitable Trading-S. Norwalk, CT

Christopher Kazan Discharged From Maxim Group After Customer Alleges Unsuitable Trading-S. Norwalk, CT 150 150 Rex Securities Law

May 2016-South Norwalk, CT 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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Losses on Cushing Royalty & Income Fund ??

Losses on Cushing Royalty & Income Fund ?? 150 150 Rex Securities Law

June 15,2015, Cushing & Royalty Income Fund (SRF) which traded at $25 in February 2012 currently trades at less than $5. It is a leveraged fund which invests in oil…

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