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Florida Office of Financial Regulation

Gerald O’Halloran-Former Kovack Securities Broker-Subject of Florida Securities Regulator Complaint-Punta Gorda, FL

Gerald O’Halloran-Former Kovack Securities Broker-Subject of Florida Securities Regulator Complaint-Punta Gorda, FL 150 150 Rex Securities Law

August 2018-Punta Gorda, Florida The FINRA records of  Gerald J. O’Halloran,  a  previously registered stock broker who was recently employed by  Kovack Securities ,  disclose that he was recently named in an administrative action…

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Brian Decker-Former Worden Capital Mgmt Broker-Arrested for Securities Fraud-Staten Island

Brian Decker-Former Worden Capital Mgmt Broker-Arrested for Securities Fraud-Staten Island 150 150 Rex Securities Law

November 2019 UPDATE -Staten Island In 95/2018 Decker was permanently barred from the industry by FINRA to resolve allegations that he failed to cooperate with a FINRA investigation. The Toledo…

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Athanasios Tomaras-Former Fulcrum Securities Broker-Discloses Suit Over Energy Investments-Oldsmar, FL

Athanasios Tomaras-Former Fulcrum Securities Broker-Discloses Suit Over Energy Investments-Oldsmar, FL 150 150 Rex Securities Law

Oldsmar, Florida-April 2019 The FINRA records of  Athanasios Tomaras,  a  stockbroker who currently is employed by  R. F. Lafferty & Co.  disclose a prior regulatory event and 5 prior customer disputes. The Financial…

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Robert M. Dechick-D.H. Hill Securities Broker-Discloses Regulatory Sanction-Clermont, FL

Robert M. Dechick-D.H. Hill Securities Broker-Discloses Regulatory Sanction-Clermont, FL 150 150 Rex Securities Law

June 2017- Clermont, Florida According to publicly available records Robert M. Dechick  (CRD#4152582) ,  a  stockbroker who currently is employed by  D.H. Hill Securities,   discloses  a recent regulatory event. The Financial Industry Regulatory…

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Revere Securities Sanctioned by Securities Regulators

Revere Securities Sanctioned by Securities Regulators 150 150 Rex Securities Law

March 2017-New York According to publicly available records Revere Securities LLC , (CRD# 14178) ,  a  FINRA registered broker dealer headquartered in New York City, discloses a pending regulatory matter , 9 prior final…

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Scott Sibley-Former Raymond James Broker-Discloses Multiple Customer Disputes Alleging Abuse of the Elderly-Boca Raton, FL

Scott Sibley-Former Raymond James Broker-Discloses Multiple Customer Disputes Alleging Abuse of the Elderly-Boca Raton, FL 150 150 Rex Securities Law

April 2017-Boca Raton, FL According to publicly available records Scott Allen Sibley  , (CRD# 1523981) ,  a   former stockbroker who last worked for Moors & Cabot,  discloses 3 prior regulatory events, 2 pending…

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David H. Fagenson-Former UBS Broker-Discloses Suspension, Termination and Customer Disputes-Palm Beach, FL

David H. Fagenson-Former UBS Broker-Discloses Suspension, Termination and Customer Disputes-Palm Beach, FL 150 150 Rex Securities Law

December 2018-Palm Beach, FL According to publicly available records David H. Fagenson , (CRD# 1652012) ,  a  stockbroker who is currently registered with Newbridge Securities disclose a recent regulatory sanction, 2 pending customer disputes, 9…

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Athanasios Tomaras-Former Fulcrum Securities Broker-Discloses Suit Over Energy Investments-Oldsmar, FL

Athanasios Tomaras-Former Fulcrum Securities Broker-Discloses Suit Over Energy Investments-Oldsmar, FL 150 150 Rex Securities Law

Oldsmar, Florida-UPDATE OCTOBER 2017-In October 2016 a customer of Fulcrum Securities file FINRA arbitration 16-02962 seeking damages of $189,000 and alleging that Mr. Tomaras made unsuitable investment recommendations in equities…

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GWN Securities Agrees to $20K Fine with Florida Securities Regulators

GWN Securities Agrees to $20K Fine with Florida Securities Regulators 150 150 Rex Securities Law

July 2016- Palm Beach Gardens, FL The FINRA records of GWN Securities, Inc. ,  a  stock brokerage firm whose main office is located in Palm Beach Gardens, FL , disclose a recently finalized regulatory event. The Financial…

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