Global Arena Capital Corp problem Archives

Rex Securities Law
October 11, 2019
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Erik Pica-Joseph Stone Capital Broker-Discloses Customer Disputes & FINRA Investigation- New York, NY

Erik Pica-Joseph Stone Capital Broker-Discloses Customer Disputes & FINRA Investigation- New York, NY 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 October 11, 2019 October 11, 2019

October 2019 – New York, New York The FINRA records of Erik Patrick Pica , a stockbroker who is employed by Joseph Stone Capital , disclose 3 pending customer dispute, 4 prior customer disputes and a…

Rex Securities Law
May 18, 2017
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Keith J. Hart – Broker previously Aegis Capital- Discloses Customer Dispute – Melville, NY

Keith J. Hart – Broker previously Aegis Capital- Discloses Customer Dispute – Melville, NY 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 18, 2017 May 18, 2017

May 2017- Melville, NY According to publicly available records Keith J. Hart (CRD#4438580) , a stockbroker who is currently not registered, but was previously registered with Aegis Capital Corp., discloses 2 pending customer disputes.…

Rex Securities Law
May 13, 2016
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Michael D. Teutonico Discloses Customer Arbitration-E.J. Sterling

Michael D. Teutonico Discloses Customer Arbitration-E.J. Sterling 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 13, 2016 May 13, 2016

May 2016- Lynbrook, 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…

Rex Securities Law
March 30, 2016
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Mark A. Lisser-Former Garden State Securities Broker- Subject of Customer Suits

Mark A. Lisser-Former Garden State Securities Broker- Subject of Customer Suits 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 30, 2016 September 8, 2019

September 2019 FINRA records disclose that former Garden State Securities stockbroker Mark A. Lisser has two pending customer disputes , 5 prior customer disputes and a termination from employment. FINRA…

Rex Securities Law
November 11, 2015
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Hector Perez a/k/a Bruce Johnson Barred From Securities Industry

Hector Perez a/k/a Bruce Johnson Barred From Securities Industry 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 November 11, 2015 April 11, 2016

July 1, 2015 Hector Perez , a/k/a Bruce Johnson , entered into a settlement with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between December 2009 and February 2011, he…

Rex Securities Law
June 12, 2015
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Global Arena Capital -FINRA Cancels Registraion

Global Arena Capital -FINRA Cancels Registraion 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 June 12, 2015 September 8, 2019

Global Arena Capital FINRA Registration Cancelled. According to FINRA records, FINRA cancelled the registration of Global Arena Capital as of 7/20/2015 for failure to pay FINRA registration fees. The company…