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Obsidian Financial

Rocco Lavista-Former Aegis Capital Corp. Broker-Discloses Customer Suits Alleging Churning – Iselin, NJ

Rocco Lavista-Former Aegis Capital Corp. Broker-Discloses Customer Suits Alleging Churning – Iselin, NJ 150 150 Rex Securities Law

September 2019-Tinton Falls, NJ According to publicly available records Rocco J. Lavista (CRD#2784573) ,  a  currently unregistered stockbroker who was last registered with Arive Capital Markets , discloses settlement of 2 customer disputes. The Financial…

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Jeffrey L. Offen-Craft Capital Management Broker-Discloses Customer Disputes & Judgements-Garden City, NY

Jeffrey L. Offen-Craft Capital Management Broker-Discloses Customer Disputes & Judgements-Garden City, NY 150 150 Rex Securities Law

February 2019- Garden City, NY According to publicly available records Jeffrey L. Offen  , (CRD# 2893980) ,  a  stockbroker who is not currently employed as a stockbroker and who was last employed by  Craft Capital…

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Bruce A. Stark-Aegis Capital Broker-Discloses Pending Customer Complaint for Churning

Bruce A. Stark-Aegis Capital Broker-Discloses Pending Customer Complaint for Churning 150 150 Rex Securities Law

July 2016-Melville, New York The FINRA records of Bruce A. Stark ,  a  stock broker currently employed  by Aegis Capital Corp. , disclose 2 pending customer disputes, a prior final customer dispute and 1 currently outstanding judgment/liens.…

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Naveed “Nick” Khan -Former Meyers Associates Broker- Indicted on Fraud Charges

Naveed “Nick” Khan -Former Meyers Associates Broker- Indicted on Fraud Charges 150 150 Rex Securities Law

UPDATE APRIL 2017 In March 2017, Naveed A. Khan was permanently barred by the SEC. ORIGINAL POST -May 2016-Staten Island The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and…

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Wesley Clinton -Network 1 Financial Securities Broker-Discloses Customer Disputes-Wantagh, NY

Wesley Clinton -Network 1 Financial Securities Broker-Discloses Customer Disputes-Wantagh, NY 150 150 Rex Securities Law

October 2017-Wantagh, NY 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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Steve Sabi -Network 1 Financial Securities Broker-Discloses Customer Dispute-Great Neck, NY

Steve Sabi -Network 1 Financial Securities Broker-Discloses Customer Dispute-Great Neck, NY 150 150 Rex Securities Law

May 2016-Great Neck, NY 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…

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Jeffrey Offen-Salomon Whitney Broker-Discloses Outstanding Judgments on FINRA Records

Jeffrey Offen-Salomon Whitney Broker-Discloses Outstanding Judgments on FINRA Records 150 150 Rex Securities Law

See this for February 2019 update. Jeffrey Lance Offen left Salomon Whitney Financial in 5/2016 and worked for Craft Capital Management from 10/2016-9/2017. He is not currently registered as a…

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South Carolina Regulators Seek to Take Securities License of Mark Hotton

South Carolina Regulators Seek to Take Securities License of Mark Hotton 150 150 Rex Securities Law

June 23, 2015- Columbia, South Carolina The Securities Commissioner for South Carolina filed a Rule to Show Cause seeking to permanently ban Mark Christopher Hotton from the securities industry. In 2013…

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