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Legend Securities problem

Marlon Cole Named in Customer Arbitration Dispute-Legend Securities Broker

Marlon Cole Named in Customer Arbitration Dispute-Legend Securities Broker 150 150 Rex Securities Law

May 2016 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…

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Richard Gomez Investigation Update-Avenir Financial-Legend Securities

Richard Gomez Investigation Update-Avenir Financial-Legend Securities 150 150 Rex Securities Law

April 2016- 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…

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Karim Ibrahim (Chris Allen) Investigation-Avenir Financial/Legend Securities

Karim Ibrahim (Chris Allen) Investigation-Avenir Financial/Legend Securities 150 150 Rex Securities Law

April 2016- Orangeburg, NY 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…

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Enver Alijaj-Investigation Update-Former Legend Securities Broker

Enver Alijaj-Investigation Update-Former Legend Securities Broker 150 150 Rex Securities Law

April 13, 2016 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…

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Christopher Veale Investigation-Numerous Customer Complaint & Regulatory Issues

Christopher Veale Investigation-Numerous Customer Complaint & Regulatory Issues 150 150 Rex Securities Law

FINRA records report that Christopher F. Veale , of New York,  who is not currently registered, is currently  named in a customer dispute: FINRA Case 15-00373-customer alleges breach of fiduciary duty by Veale while…

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Richard Gomez Investigation-Former Legend Securities Broker

Richard Gomez Investigation-Former Legend Securities Broker 150 150 Rex Securities Law

FINRA records report that Richard Gomez , of New York,  who is not currently registered, is currently  named in two customer disputes: FINRA Case 16-0035 filed by a Florida resident against Gomez while he…

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Salvatore Pizzimenti Investigation-Legend Securities Broker

Salvatore Pizzimenti Investigation-Legend Securities Broker 150 150 Rex Securities Law

FINRA records report that Salvatore Pizzimenti , who has been registered with Legend Securities since 8/2011 , has been  named in four customer disputes that have been resolved, including: FINRA Case 12-2703 filed while Pizzimenti…

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Mario Gogliormella Investigation-Legend Securities Broker

Mario Gogliormella Investigation-Legend Securities Broker 150 150 Rex Securities Law

FINRA records report that Mario Gogliormella , who has been registered with Legend Securities since 12/2010 , is currently named in three pending customer disputes: FINRA Case 15-3487 alleging unsuitability and breach…

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