churning by stock broker Archives - Page 7 of 9

Rex Securities Law
August 3, 2016
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Joe M. Pazmino-Aegis Capital StockBroker-Discloses 2 Customer Complaints for Excessive Trading-New York

Joe M. Pazmino-Aegis Capital StockBroker-Discloses 2 Customer Complaints for Excessive Trading-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 August 3, 2016 July 10, 2017

New York UPDATE MAY 2017-FINRA Case 13-3289 alleging churning, unsuitable use of margin and poor recommendations was settled for $390,000. ORIGINAL POST August 2016– The FINRA records of Joe M. Pazmino , a stock…

Rex Securities Law
July 20, 2016
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Michael A. Valdini-Worden Capital Management Broker-Discloses Churning Complaints

Michael A. Valdini-Worden Capital Management Broker-Discloses Churning Complaints 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 July 20, 2016 May 18, 2017

Rockville Center, New York UPDATE MAY 2017–Michael Valdini discloses two additional currently pending customer disputes: FINRA Case 16-3569- a customer of J.D. Nicholas & Assoc. alleges damages of $2.1 million…

Rex Securities Law
July 18, 2016
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David M. Levy-Former Newport Coast Securities Broker-Barred by FINRA

David M. Levy-Former Newport Coast Securities Broker-Barred by FINRA 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 July 18, 2016 March 1, 2017

UPDATE November 2016-Wellington, FL —FINRA permanently barred David Michael Levy finding that the trading activity in all of the customer accounts at issue was excessive and inconsistent with the customer’s…

Rex Securities Law
July 18, 2016
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Douglas A. Leone-Former Newport Coast Securities Broker-Discloses Regulatory Investigation for Churning

Douglas A. Leone-Former Newport Coast Securities Broker-Discloses Regulatory Investigation for 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 July 18, 2016 July 18, 2016

July 2016-Farmingdale, NY The FINRA records of Douglas A. Leone , a stock broker currently employed by Salomon Whitney Financial , disclose a pending regulatory event and 7 prior customer disputes, The Financial Industry Regulatory Authority (FINRA) is the…

Rex Securities Law
July 16, 2016
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Raymond J. Pirrello-Former Garden State Securities Broker-Named in SEC Insider Trading Complaint

Raymond J. Pirrello-Former Garden State Securities Broker-Named in SEC Insider Trading Complaint 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 July 16, 2016 May 23, 2018

MARCH 2018 UPDATE-Pirrello Named in customer arbitration alleging churning. See this for details. May 2017 UPDATE-FINRA records disclose that Raymond J. Pirrello, Jr. has 9 prior final customer disputes and…

Rex Securities Law
July 7, 2016
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Joseph Cotter-Discharged by NEXT Financial for Excessive Trading-Named in Customer Dispute

Joseph Cotter-Discharged by NEXT Financial for Excessive Trading-Named in Customer Dispute 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 July 7, 2016 March 5, 2018

March 2018 UPDATE–See this for update. Cotter suspended and fined for excessive trading. July 2016- Charlotte, North Carolina FINRA records report that a customer of former NEXT Financial Group stockbroker Joseph L. Cotter has alleged…

Rex Securities Law
May 24, 2016
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Shawn M. McIntyre-Feltl & CO. Broker- Discloses $300K Settlement With Customer-Minneapolis, MN

Shawn M. McIntyre-Feltl & CO. Broker- Discloses $300K Settlement With Customer-Minneapolis, MN 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 May 24, 2016 October 26, 2017

Minneapolis, MN According to FINRA records, Shawn M. McIntyre , a broker who has been registered with Feltl & Company since 12/2003 , discloses 3 prior customer complaints and one pending judgment/lien. The Financial…

Rex Securities Law
May 24, 2016
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Bernard T. Weber-Feltl & Co. Broker-Discloses Pending Customer Complaint Alleging Churning

Bernard T. Weber-Feltl & Co. Broker-Discloses Pending Customer Complaint 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 May 24, 2016 May 17, 2018

MAY 2018 UPDATE-Minnetonka, MN According to FINRA records, Bernard T. Weber , a broker who has been registered with Feltl & Company since 12/2006 , discloses five prior customer disputes, two final regulatory…

Rex Securities Law
May 15, 2016
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Mark Ketner-Maxim Group Broker-Discloses Customer Dispute for Excessive Trading

Mark Ketner-Maxim Group Broker-Discloses Customer Dispute for Excessive Trading 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 May 15, 2016 May 15, 2016

May 2016-Woodbury, New York 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…