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Rockwell Global Capital

Richard Reynolds-Worden Capital Broker-Discloses 3 regulatory events, 11 customer disputes and a termination-Garden City, NY

Richard Reynolds-Worden Capital Broker-Discloses 3 regulatory events, 11 customer disputes and a termination-Garden City, NY 150 150 Rex Securities Law

November 2020- Garden City, NY According to publicly available records Richard Foerster Reynolds (CRD#2162706), a stockbroker who works for Worden Capital Management  discloses three regulatory events, 11 customer disputes and…

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Robert P. Solow- Former Trident Partners Broker-Discloses Pending Customer Suit- Melville, NY

Robert P. Solow- Former Trident Partners Broker-Discloses Pending Customer Suit- Melville, NY 150 150 Rex Securities Law

September 2019, Melville, NY According to publicly available records Robert Paul Solow   (CRD# 4532161) ,  a  stockbroker who is not not registered and who last worked for Joseph Gunnar & Co.…

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Abed William Lulu-Former Worden Capital Broker- Discloses 6 Regulatory Event & Customer Suits – Melville, NY

Abed William Lulu-Former Worden Capital Broker- Discloses 6 Regulatory Event & Customer Suits – Melville, NY 150 150 Rex Securities Law

June 2019-Melville, NY The FINRA records of  Abed William Lulu ,  a  financial advisor previously employed by  Worden Capital Management disclose 6 regulatory events,  3 prior customer disputes, 4 outstanding judgments. The…

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

Kristopher R. Tung-Axiom Capital Mgmt. Broker-Discloses Pending Customer Arbitration 150 150 Rex Securities Law

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…

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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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Bryan Mazliach-Former Laidlaw & Company Broker-Discloses Customer Arbitrations

Bryan Mazliach-Former Laidlaw & Company Broker-Discloses Customer Arbitrations 150 150 Rex Securities Law

May 2019 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…

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