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PHX Financial

Robert Delaplain- PHX Financial Advisor- Discloses 2 Regulatory Events- Florham Park, NJ

Robert Delaplain- PHX Financial Advisor- Discloses 2 Regulatory Events- Florham Park, NJ 150 150 Rex Securities Law

July 2021- Florham Park, NJ According to publicly available records,  Robert Delaplain a PHX Financial, Inc. financial advisor , discloses 2 regulatory events. The Financial Industry Regulatory Authority (FINRA) is the agency…

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Greg O’Brien-Former Aegis Capital Broker-Discloses Customer Disputes and Tax Liens-Boca Raton, FL

Greg O’Brien-Former Aegis Capital Broker-Discloses Customer Disputes and Tax Liens-Boca Raton, FL 150 150 Rex Securities Law

January 2020-Boca Raton, FL The FINRA records of  Gregory Spencer O’Brien,  a  stockbroker who was formerly employed by Aegis Capital Corp. disclose 2 pending customer disputes , 3 prior final customer disputes and…

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Douglas E. Duncan-Former National Securities Corp. Broker- Discloses Customer Dispute-Westbury, NY

Douglas E. Duncan-Former National Securities Corp. Broker- Discloses Customer Dispute-Westbury, NY 150 150 Rex Securities Law

May 2017-Westbury, New York The FINRA records of  Douglas E. Duncan ,  a  stockbroker who is currently  registered with PHX Financial  and Scottrade, Inc.  disclose a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…

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Demitrios Hallas-Former PHX Financial Broker-Named in SEC Complaint-

Demitrios Hallas-Former PHX Financial Broker-Named in SEC Complaint- 150 150 Rex Securities Law

April 2017- New York The FINRA records of  Demitrios Hallas ,  a  former PHX Financial stockbroker who is currently not registered disclose two final regulatory events, 2 prior customer disputes and a termination from employment.…

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Serge Parakhnevich-PHX Financial Broker-Discloses Pending Customer Dispute

Serge Parakhnevich-PHX Financial Broker-Discloses Pending Customer Dispute 150 150 Rex Securities Law

August  2016-New York The FINRA records of Serge Parakhnevich ,  a  stock broker who is currently employed by PHX Financial, Inc. , disclose a pending customer dispute and an outstanding judgment/lien. The Financial Industry Regulatory Authority (FINRA) is the agency…

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Johnathan W. McHale-Former PHX Financial Broker-Makes Numersous Diclosures On FINRA Record

Johnathan W. McHale-Former PHX Financial Broker-Makes Numersous Diclosures On FINRA Record 150 150 Rex Securities Law

New York According to FINRA records,  Johnathan W. McHale ,   a stock broker  formerly employed by PHX Financial , discloses seven final customer disputes, a termination and 7 pending judgment/liens. The Financial Industry Regulatory Authority (FINRA) is the agency…

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PHX Financial-Discloses Settlement of Customer Dispute

PHX Financial-Discloses Settlement of Customer Dispute 150 150 Rex Securities Law

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…

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Francesco A. Scarso-First Standard Financial Broker-Discloses Pending Customer Dispute-NY

Francesco A. Scarso-First Standard Financial Broker-Discloses Pending Customer Dispute-NY 150 150 Rex Securities Law

New York MAY 2017 UPDATE–Francesco Scarso was permanently barred from the securities industry in 2/2017 for failing to respond to a request for information in connection with an investigation.  …

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