churning by stock broker Archives - Page 5 of 9

Rex Securities Law
March 3, 2017
No Comments

Kevin Jones-Former Newbridge Securities Broker-Discloses Customer Disputes-New York

Kevin Jones-Former Newbridge Securities Broker-Discloses Customer Disputes-New York https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 3, 2017 September 28, 2018

September 2018-New York According to publicly available records Kevin C. Jones , (CRD# 3124650) , a stockbroker who is not currently registered and who was last employed by Newbridge Securities Corp.,…

Rex Securities Law
February 13, 2017
No Comments

SEC Issues Alert Regarding Churning of Brokerage Accounts

SEC Issues Alert Regarding Churning of Brokerage Accounts https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 13, 2017 February 13, 2017

January 2017 The U.S. Securities and Exchange Commission (SEC) issued an Investor Alert to help investors identify excessive trading in their brokerage accounts. The SEC suggests that investors look for…

Rex Securities Law
February 13, 2017
No Comments

Matthew Maczko-Former Wells Fargo Broker- Barred by Securities Regulators-Churning

Matthew Maczko-Former Wells Fargo Broker- Barred by Securities Regulators-Churning https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 13, 2017 March 27, 2017

February 2017- Oak Brook, Illinois According to publicly available records Matthew Christopher Maczko , (CRD# 1888519) , a former stockbroker who was last employed by Wells Fargo Advisors, LLC, discloses that FINRA has permanently…

Rex Securities Law
January 17, 2017
No Comments

Jeanpaul C. Skovronck- Alexander Capital Broker-Discloses Customer Dispute Alleging Churning

Jeanpaul C. Skovronck- Alexander Capital Broker-Discloses Customer Dispute Alleging Churning https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g January 17, 2017 January 17, 2017

January 2017- Staten Island, New York According to publicly available records Jeanpaul Charles Skovronck , (CRD# 2744738) , a stockbroker who is currently employed by Alexander Capital, disclose a currently pending customer dispute.…

Rex Securities Law
January 17, 2017
No Comments

John Piro-Joseph Gunnar Broker-Discloses Customer Dispute Alleging Churning

John Piro-Joseph Gunnar Broker-Discloses Customer Dispute Alleging Churning https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g January 17, 2017 May 20, 2019

January 2017-Melville, New York According to publicly available records John J. Piro , (CRD# 4539787) , a stockbroker currently employed by Joseph Gunnar & Co. , disclose a pending customer dispute. The Financial Industry Regulatory…

Rex Securities Law
August 19, 2016
No Comments

Joseph M. Thurnherr-Former First Standard Financial Broker-Discloses Pending Customer Disputes

Joseph M. Thurnherr-Former First Standard Financial Broker-Discloses Pending Customer Disputes https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 19, 2016 March 5, 2018

UPDATE MARCH 2018-Joseph M. Thurnherr is now employed by Spartan Capital Securities and has another customer dispute disclosed on his BrokerCheck report. See this for details. Meyers Associates is now …

Rex Securities Law
August 15, 2016
No Comments

Anthony Mastroianni-Former Alexander Capital Broker-Discloses $2M Customer Churning Arbitration

Anthony Mastroianni-Former Alexander Capital Broker-Discloses $2M Customer Churning Arbitration https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 15, 2016 August 15, 2016

August 2016- New York The FINRA records of Anthony Mastroianni, a stock broker who is currently employed by Meyers Associates disclose 2 currently pending customer disputes, 4 prior customer disputes and a currently outstanding…

Rex Securities Law
August 14, 2016
No Comments

Barry T. Eisenberg-Alexander Capital Broker-Sanctioned by Regulator

Barry T. Eisenberg-Alexander Capital Broker-Sanctioned by Regulator https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 14, 2016 September 8, 2019

September 2019- Allentown, PA The FINRA records of Barry T. Eisenberg, a stock broker employed by Alexander Capital, L.P. disclose a regulatory event, a prior customer dispute and a prior financial event.…

Rex Securities Law
August 14, 2016
No Comments

Francine A. Lanaia-Former Alexander Capital Broker-Named in Churning Complaint by Regulator

Francine A. Lanaia-Former Alexander Capital Broker-Named in Churning Complaint by Regulator https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 14, 2016 November 30, 2016

August 2016- Fort Salanga, New York The FINRA records of Francine A. Lanaia, a stock broker who is currently employed by Meyers Associates disclose a currently pending regulatory event, two prior regulatory events, a currently…