Category Archives: Rockwell Global Capital

Kristopher R. Tung-Axiom Capital Mgmt. Broker-Discloses Pending Customer Arbitration

August  2016-Westbury, New York

The FINRA records of Kristopher R. Tung ,  a  stock broker who is currently employed by Axiom Capital Management  , discloses a pending customer dispute.

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 as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

In FINRA Case 16-0140, a customer of Tung’s prior employer, Liberty Partners Financial Services alleges damages of $42,383 for failure to supervise.

 

Tung has been employed by Axiom Capital Management since 10/2015. Prior to that he was employed by Rockwell Global Capital, B.B. Graham & Co. and Liberty Partners Financial Services.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

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

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 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 as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

In the currently pending dispute, received in June 2016 , a customer of Aegis Capital  alleges damages of $2,000,000  for unsuitable investment recommendations and mishandling of their account from June 2013-January 2016.

The prior customer disputes include:

  • FINRA Case 10-03873 in which a customer of Luftschein’s prior employer, GunnAllen Financial, alleged damages of $1,000,000 for failure to supervise. That case was settled for $275,000.
  • NASD Case 06-3161 in which a customer of Luftschein’s prior employers Investec Ernst and Maxim Group alleged damages of $392,387 for excessive and unauthorized trading in unsuitable securities and use of margin without authorization. That case was settled for $77,500.

Luftschein has been employed by Aegis Capital since  6/2013. Prior to that he was employed by John Thomas Financial (expelled by FINRA 10/2013) and before that Rockwell Global Capital.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Bryan Mazliach-Laidlaw & Company Broker-Named in Customer Arbitrations

May 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 disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

According to FINRA records,  Bryan G. Mazliach has been registered with Laidlaw & Company since 1/2015. Prior to that he was registered with Rockwell Global Capital from 12/2010-1/2015.

FINRA records disclose that there are currently two customer disputes pending against Bryan G. Mazliach:

  • FINRA Case 16-00291-a customer of Mazliach, while he was employed by Laidlaw & Company, alleges excessive trading and commissions resulting in damages of $200,000.
  • FINRA Case 14-2981- a customer of Mazliach, while he was employed by Rockwell Global Capital, alleges churning, suitability and unauthorized trading resulting in damages of $201,095.

If you have losses in an account handled by Bryan G. Mazliach contact us to learn how you may be able to recover damages through FINRA arbitration.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Robert Murray, III-Joseph Stone Capital Broker-Named in Numerous Customer Arbitrations

February 2018

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 as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

FINRA records disclose that there are currently three customer disputes pending against  Robert J. Murray III, and six prior final customer disputes.

  • FINRA Case 15-2421- a customer alleges that Mr. Murray made unsuitable investments causing damages of $31,711.
  • FINRA Case #16-3605-a customer of Spartan Capital Securities alleges excessive commissions, excessive trading (churning) and conversion and is seeking damages of $374,839.
  • FINRA Case #17-104-a customer of Spartan Capital Securities alleges unsuitable transactions and  excessive trading (churning)  and is seeking damages of $50,000.

According to FINRA records,  Robert J. Murray, III is currently employed by Joseph Stone Capital. He was previously registered with   Spartan Capital Securities from 10/2012-8/2016. Prior to that he was registered with Rockwell Global Capital, Summit Brokerage Services and Vanguard Capital.

If you have losses in an account handled by Robert J. Murray contact us to learn how you may be able to recover damages through FINRA arbitration.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870