fbpx

Four Points Capital Partners problem

John Calardo- Former Worden Capital Broker- Discloses $300K Pending Customer Suit Alleging Churning- NYC

John Calardo- Former Worden Capital Broker- Discloses $300K Pending Customer Suit Alleging Churning- NYC 150 150 Rex Securities Law

July 2020, New York, NY According to publicly available records John Calardo   (CRD# 6063938) ,  a  currently unregistered stockbroker who previously registered  with Four Points Capital Partners & Worden Capital Management,…

read more

Allan Montalbano-Former Worden Capital Broker- Discloses 14 Customer Disputes- Westbury, NY

Allan Montalbano-Former Worden Capital Broker- Discloses 14 Customer Disputes- Westbury, NY 150 150 Rex Securities Law

October 2019- Westbury, NY According to publicly available records Allan P Montalbano (CRD#4507029) ,  a  stockbroker who is not currently registered  and who was last registered with Worden Capital Management ,…

read more

Daniel T. Fischer-Former Four Points Capital Partners Broker-Barred From Securities Industry-Melville, NY

Daniel T. Fischer-Former Four Points Capital Partners Broker-Barred From Securities Industry-Melville, NY 150 150 Rex Securities Law

UPDATE FEBRUARY 2018-The SEC barred Daniel T. Fischer indefinitely from association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or NRSRO. ORIGINAL POST-January 2018-Melville, New…

read more

Zachary Berkey-Former Four Points Capital Broker-Fined by Regulator-Melville, NY

Zachary Berkey-Former Four Points Capital Broker-Fined by Regulator-Melville, NY 150 150 Rex Securities Law

June 2019-Melville, New York / Texas Zachary S. Berkey , a currently unregistered stockbroker who last worked for Four Points Capital Partners, a Texas LLC, (Four Points) was named in a…

read more

Douglas E. Duncan-Former National Securities Corp. Broker- Discloses Customer Dispute-Westbury, NY

Douglas E. Duncan-Former National Securities Corp. Broker- Discloses Customer Dispute-Westbury, NY 150 150 Rex Securities Law

May 2017-Westbury, New York The FINRA records of  Douglas E. Duncan ,  a  stockbroker who is currently  registered with PHX Financial  and Scottrade, Inc.  disclose a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…

read more

Sean P. McCabe Investigation-Worden Capital Mangement Broker-Discloses Settlement of Customer Disputes

Sean P. McCabe Investigation-Worden Capital Mangement Broker-Discloses Settlement of Customer Disputes 150 150 Rex Securities Law

April 2018 Update– Garden City, New York According to FINRA records,  Sean P. McCabe , currently a broker with Worden Capital Management,  discloses  5 finalized customer disputes. The Financial Industry Regulatory Authority…

read more

Michael P. McMahon -Former National Securities Corp Stockbroker-Discloses Pending Customer Disputes-NY

Michael P. McMahon -Former National Securities Corp Stockbroker-Discloses Pending Customer Disputes-NY 150 150 Rex Securities Law

Garden City, New York MAY 2017 UPDATE–MCMahon’s FINRA record discloses 5 pending and 11 final customer disputes. In 11/2016 FINRA case 15-1558 was settled for $400,000 to resolve allegations by…

read more