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J.P. Turner & Co problem

Raymond T. Clark-Former Dynasty Capital Partners Broker-Discloses 6 Pending Customer Disputes

Raymond T. Clark-Former Dynasty Capital Partners Broker-Discloses 6 Pending Customer Disputes 150 150 Rex Securities Law

August 2016- Buffalo, New York The FINRA records of  Raymond T. Clark,  a  former stock broker who FINRA has permanently barred from acting as a broker or otherwise associating with firms that…

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

Anthony Mastroianni-Former Alexander Capital Broker-Discloses $2M Customer Churning Arbitration 150 150 Rex Securities Law

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…

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Joseph F. Comiskey-K.C. Ward Financial Broker-Discloses Customer Dispute & Outstanding Liens

Joseph F. Comiskey-K.C. Ward Financial Broker-Discloses Customer Dispute & Outstanding Liens 150 150 Rex Securities Law

August 2016- Ronkonkoma, NY The FINRA records of Joseph F. Comiskey, Jr. ,  a  stock broker who is currently  employed by K. C. Ward Financial  disclose  a currently pending customer dispute, 2 prior customer disputes,…

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Michael A. Castillero-Former Alexander Capital Broker-Discloses Multiple Customer Disputes & Bar From Securities Industry

Michael A. Castillero-Former Alexander Capital Broker-Discloses Multiple Customer Disputes & Bar From Securities Industry 150 150 Rex Securities Law

New York APRIL 2019 UPDATE- Michael A. Castillero left Alexander Capital in 6/2017 and worked for Windsor Street Capital from 6/2017-10/2017. In 2/2019 he was permanently barred from the securities…

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Glen Rauch-Former Avenir Financial Broker-Accused of Harassment and Unauthorized Trading

Glen Rauch-Former Avenir Financial Broker-Accused of Harassment and Unauthorized Trading 150 150 Rex Securities Law

UPDATE SEPTEMBER 2016-FINRA named Glen J. Rauch in a complaint alleging that following his termination from registration(see below) he repeatedly sent abusive, obscene, intimidating and threatening messages to a principal of…

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William Gennity-Former Alexander Capital Stockbroker-Named in Churning Complaint

William Gennity-Former Alexander Capital Stockbroker-Named in Churning Complaint 150 150 Rex Securities Law

MARCH 2019 Update–SEC enters consent judgement vs. William Gennity.  UPDATE August 2016–William Gennity Named in Churning Complaint by Montana Securities Regulator. Follow this link for details. May 2016- NYC The Financial Industry…

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Raymond Pirrello of Garden State Securities Investigated by Securities Regulator

Raymond Pirrello of Garden State Securities Investigated by Securities Regulator 150 150 Rex Securities Law

http://blog.rexsecuritieslaw.com/2018/03/23/raymond-j-pirrello-jr-churning-investigation/ UPDATE July 2016–Pirrello named in insider trading complaint filed by the Securities and Exchange commission. See this for details.  UPDATE June 2016-Former Garden State Securities stock broker Raymond J. Pirrello…

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