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jhs capital advisors complaint

Michael J. Pepe-Ameriprise Broker-Subject of $750,000 Customer Suit-Tampa, FL

Michael J. Pepe-Ameriprise Broker-Subject of $750,000 Customer Suit-Tampa, FL 150 150 Rex Securities Law

August 2018-Tampa, Florida The FINRA records of  Michael J. Pepe,  a  stock broker who is currently employed by Ameriprise Financial Services ,  disclose a recently filed customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…

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Dennis H. Cambal-Former JHS Capital Broker-Discloses Regulatory Action & Customer Disputes

Dennis H. Cambal-Former JHS Capital Broker-Discloses Regulatory Action & Customer Disputes 150 150 Rex Securities Law

August 2016- Yarmouth, MA The FINRA records of Dennis H. Cambal ,  a  stock broker who is currently  employed by NBC Securities  disclose a prior regulatory event and 9 prior customer disputes. The Financial Industry Regulatory Authority…

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Frank J. McPartland-NBC Securities Broker-Discloses Pending Customer Arbitration

Frank J. McPartland-NBC Securities Broker-Discloses Pending Customer Arbitration 150 150 Rex Securities Law

August  2016-Tampa, Florida The FINRA records of Frank J. McPartland ,  a  stock broker who is currently employed by NBC Securities, Inc.  , discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses…

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Morgan Stanley Wins Suit Vs. Former Broker Jeffery G. Iseler

Morgan Stanley Wins Suit Vs. Former Broker Jeffery G. Iseler 150 150 Rex Securities Law
On April 17, 2013, a FINRA arbitration panel found former Morgan Stanley broker Jeffery G. Iseler, liable for breach of a promissory note and ordered him to pay his former employer $144,507, plus interest. This is 100% of the amount requested by Morgan Stanley in FINRA Case #12-2803 which was recently heard in Tampa, FL. read more