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liberty partners financial services complaint

Kristopher R. Tung-Axiom Capital Mgmt. Broker-Discloses Pending Customer Arbitration

Kristopher R. Tung-Axiom Capital Mgmt. Broker-Discloses Pending Customer Arbitration 150 150 Rex Securities Law

August  2016-Westbury, New York The FINRA records of Kristopher R. Tung ,  a  stock broker who is currently employed by Axiom Capital Management  , discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that…

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Hank Werner-Former Legend Securities Broker-Discloses Investigation for Churning Account of Blind & Disabled Widow

Hank Werner-Former Legend Securities Broker-Discloses Investigation for Churning Account of Blind & Disabled Widow 150 150 Rex Securities Law

August  2016-New York The FINRA records of Hank M. Werner ,  a  currently unlicensed stock broker who was most recently employed by Legend Securities Inc.  , discloses a pending FINRA investigation in which he was charged with…

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Emil Botvinnik-Former SW Financial/ Worden Capital Broker-Accused of Churning by Regulator

Emil Botvinnik-Former SW Financial/ Worden Capital Broker-Accused of Churning by Regulator 150 150 Rex Securities Law

UPDATED January 2019-In 9/2018, the US Securities & Exchange Commission filed a civil suit alleging that Botvinnik engaged in fraud involving excessive commissions to enrich himself while his customers experienced…

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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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Marcus Farquhar-Former 1st Global Capital Broker -Sanctioned by Regulator-Edna, TX

Marcus Farquhar-Former 1st Global Capital Broker -Sanctioned by Regulator-Edna, TX 150 150 Rex Securities Law

August 7, 2015- Edna, Texas Marcus Farquhar ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from April 2013 to…

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