fbpx

Ascendiant Capital Markets problem

Scott Levine- Former Ascendiant Capital Markets Broker-Barred From Securities Industry by Regulators -Lake Worth, FL

Scott Levine- Former Ascendiant Capital Markets Broker-Barred From Securities Industry by Regulators -Lake Worth, FL 150 150 ER

Scott Levine Investigation July 2022-Lake Worth, FL According to publicly available records Scott H. Levine a former broker who last worked for Ascendiant Capital Markets,  discloses a final regulatory matter resulting…

read more

Steven P. Capozza-Keystone Capital Broker-Discloses Outstanding Judgment

Steven P. Capozza-Keystone Capital Broker-Discloses Outstanding Judgment 150 150 Rex Securities Law

July 2016-San Diego, CA The FINRA records of Steven P. Capozza ,  a  stock broker employed  by Keystone Capital Corporation , disclose a prior regulatory event, a prior customer dispute and a currently outstanding judgement/lien. The Financial Industry Regulatory Authority (FINRA) is…

read more

Charles Posner-Former Ascendiant Capital Markets Broker Sanctioned by Securities Regulator-Boynton Beach, FL

Charles Posner-Former Ascendiant Capital Markets Broker Sanctioned by Securities Regulator-Boynton Beach, FL 150 150 Rex Securities Law

August 5, 2015- Boynton Beach, Florida Charles Posner , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he willfully failed to…

read more

Ascendiant Capital Markets Sanctioned by Securities Regulator

Ascendiant Capital Markets Sanctioned by Securities Regulator 150 150 Rex Securities Law

June 25, 2015 Ascendiant Capital Markets entered into an Order Accepting Offer of Settlement  (Order) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that the company violated FINRA By-Laws,…

read more

Ascendiant Capital Markets Named in Regulatory Complaint

Ascendiant Capital Markets Named in Regulatory Complaint 150 150 Rex Securities Law

February 23, 2015 The Financial Industry Regulatory Authority (FINRA) Department of Enforcement filed a complaint against Ascendiant Capital Markets, LLC alleging that they failed to satisfy important supervisory, disclosure and…

read more

This site is protected by wp-copyrightpro.com