Legend Securities problem Archives - Page 4 of 5

Rex Securities Law
March 26, 2016
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Richard J. Coleman Investigation-Former Legend Securities Broker-Melville, NY

Richard J. Coleman Investigation-Former Legend Securities Broker-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 March 26, 2016 May 12, 2017

Melville, NY MAY 2017 UPDATE-FINRA records report that Richard J. Coleman left his employment at Salomon Whitney Financial 3/2017 and as of May 11 he is not currently registered. ORIGINAL…

Rex Securities Law
March 26, 2016
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John Cangialosi -Worden Capital Management Broker-Discloses Customer Dispute Alleging Churning-New York

John Cangialosi -Worden Capital Management Broker-Discloses Customer Dispute Alleging Churning-New York 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 26, 2016 September 8, 2019

September 2019-New York FINRA records disclose that John S. Cangialosi, who is currently registered with Worden Capital Management, has two prior regulatory events, a currently pending customer dispute, 7 prior customer…

Rex Securities Law
March 26, 2016
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Daren Dorval Investigation-Legend Securities Broker

Daren Dorval Investigation-Legend Securities Broker 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 26, 2016 July 8, 2016

FINRA records report that Daren Dorval, who has been registered with Legend Securities since 9/2009, is named in a 3 currently pending arbitrations: FINRA Case 15-802 filed by a Florida…

Rex Securities Law
March 26, 2016
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Brian K. Decker Investigation-Legend Securities Broker

Brian K. Decker Investigation-Legend Securities Broker 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 26, 2016 May 30, 2018

See this for MAY 2018 UPDATE. Brian Decker barred from securities industry by regulators. ORIGINAL POST MARCH 2016 FINRA records report that Brian K. Decker, who has been registered with…

Rex Securities Law
March 26, 2016
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Jason Harris Klabal Investigation-Legend Securities Broker

Jason Harris Klabal Investigation-Legend Securities Broker 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 26, 2016 March 26, 2016

FINRA records report that Jason Harris Klabal, who has been registered with Legend Securities since 8/2011, is named in a currently pending arbitration (FINRA Case 15-484) by a customer who…

Rex Securities Law
March 26, 2016
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Legend Securities Ordered to Pay Customer $61K by FINRA Arbitrators

Legend Securities Ordered to Pay Customer $61K by FINRA Arbitrators 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 26, 2016 March 26, 2016

July 2015 Legend Securities was ordered to pay over $61,000 to the estate of a former client by a Financial Industry Regulatory Authority (FINRA) arbitration panel. FINRA Case 14-1705. Estate…

Rex Securities Law
March 26, 2016
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Losses on GTAT ? Recovery Options For Investors

Losses on GTAT ? Recovery Options For Investors 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 26, 2016 March 26, 2016

If you suffered losses on GT Advanced Technologies (GTAT) purchased from Legend Securities we may able to help you recover damages through FINRA arbitration. GT Advanced Technologies which traded at nearly…

Rex Securities Law
March 26, 2016
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Legend Securities Fined $300,000 by S. Carolina Securities Regulators

Legend Securities Fined $300,000 by S. Carolina Securities Regulators 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 26, 2016 March 26, 2016

March 18, 2016-Columbia, South Carolina Legend Securities was named in Administrative Order File Number 14108 filed by the Securities Division of the Office of the Attorney General of South Carolina for…

Rex Securities Law
March 26, 2016
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Legend Securities Fined $125,000 Over Penny Stock Sales

Legend Securities Fined $125,000 Over Penny Stock Sales 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 26, 2016 March 26, 2016

February 10, 2016 Legend Securities entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from October 2010 to…