fbpx

churning by stock broker

Rocco Lavista-Former Aegis Capital Corp. Broker-Discloses Customer Suits Alleging Churning – Iselin, NJ
Rocco Lavista-Former Aegis Capital Corp. Broker-Discloses Customer Suits Alleging Churning – Iselin, NJ 150 150 Rex Securities Law

September 2019-Tinton Falls, NJ According to publicly available records Rocco J. Lavista (CRD#2784573) ,  a  currently unregistered stockbroker who was last registered with Arive Capital Markets , discloses settlement of 2 customer disputes. The Financial…

read more

Todd Allen Burnett-Oppenheimer & Co. Broker-Discloses Customer Dispute Alleging Churning – St. Louis, MO
Todd Allen Burnett-Oppenheimer & Co. Broker-Discloses Customer Dispute Alleging Churning – St. Louis, MO 150 150 Rex Securities Law

August 2017 – St. Louis, MO According to publicly available records Todd Allen Burnett (CRD#2703620) ,  a  stockbroker who currently is employed by Oppenheimer & Co. ,  disclose a recently filed customer dispute. The Financial…

read more

Northeast Securities Ordered to Pay Former Customer $1.8 Million-Mitchelfield, NY
Northeast Securities Ordered to Pay Former Customer $1.8 Million-Mitchelfield, NY 150 150 Rex Securities Law

July 2017-New York An arbitration panel of the Financial Industry Regulatory Authority (FINRA) ordered Northeast Securities, Inc. a broker dealer headquartered in  Mitchelfield , NY, and three of their brokers…

read more

Craig S. Forster-Former Oppenheimer Broker-Discloses Customer Disputes-Hawthorne, NY
Craig S. Forster-Former Oppenheimer Broker-Discloses Customer Disputes-Hawthorne, NY 150 150 Rex Securities Law

May 2017-Hawthorne, NY The FINRA records of  Craig S. Forster  ,  a  stockbroker who is currently  registered with Woodstock Financial Group  disclose 9 prior customer disputes . The Financial Industry Regulatory Authority (FINRA) is the agency…

read more

Silvano R. Trino-Northeast Securities Broker-Discloses $3.9M Customer Dispute Alleging Churning-Miami, FL
Silvano R. Trino-Northeast Securities Broker-Discloses $3.9M Customer Dispute Alleging Churning-Miami, FL 150 150 Rex Securities Law

April 2017-Miami, FL The FINRA records of  Silvano R. Trino ,  a  broker with Northeast Securities   disclose a pending customer dispute and 3 prior final customer disputes. The Financial Industry Regulatory Authority (FINRA) is the agency…

read more

Jonathan M. Zucker-Northeast Securities Broker-Discloses Customer Dispute-Mitchelfield, NY
Jonathan M. Zucker-Northeast Securities Broker-Discloses Customer Dispute-Mitchelfield, NY 150 150 Rex Securities Law

April 2017-Mitchelfield, NY The FINRA records of  Jonathan M. Zucker ,  a  broker with Northeast Securities   disclose a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers…

read more

Leon Paul Rehak-Former Raymond James Broker-Named in Churning Complaint-Pompano, FL
Leon Paul Rehak-Former Raymond James Broker-Named in Churning Complaint-Pompano, FL 150 150 Rex Securities Law

March 2017-Pompano Beach, FL According to publicly available records Leon Paul Rehak  , (CRD# 2331058) ,  a   stockbroker who presently works for LPL Financial,  discloses a pending customer dispute. The Financial Industry Regulatory Authority…

read more
Enter your
text here

This site is protected by wp-copyrightpro.com