national securities corp problem Archives

ER
March 29, 2022
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Jan E. Haynes-Former Integrity Brokerage Services Broker-Discloses Customer Disputes and Regulatory Suspension-LaJolla, CA

Jan E. Haynes-Former Integrity Brokerage Services Broker-Discloses Customer Disputes and Regulatory Suspension-LaJolla, CA https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g March 29, 2022 March 29, 2022

Jan E. Haynes Investigation March 2022- La Jolla, CA The FINRA records of Jan Earl Haynes, a stock broker who is currently suspended by FINRA and who was last employed by Centaurus Financial,…

Rex Securities Law
January 30, 2020
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William John Braun-National Securities Corporation Broker-Discloses 5 Customer Disputes-Boca Raton, FL

William John Braun-National Securities Corporation Broker-Discloses 5 Customer Disputes-Boca Raton, FL 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 January 30, 2020 January 30, 2020

January 2020 – Boca Raton, FL The FINRA records of William John Braun (CRD#1271500) , a broker with National Securities Corporation discloses a regulatory event and five pending customer disputes. The Financial Industry Regulatory…

Rex Securities Law
May 18, 2017
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Keith J. Hart – Broker previously Aegis Capital- Discloses Customer Dispute – Melville, NY

Keith J. Hart – Broker previously Aegis Capital- Discloses Customer Dispute – 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 May 18, 2017 May 18, 2017

May 2017- Melville, NY According to publicly available records Keith J. Hart (CRD#4438580) , a stockbroker who is currently not registered, but was previously registered with Aegis Capital Corp., discloses 2 pending customer disputes.…

Rex Securities Law
May 11, 2017
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Ramesh Madhusudan-Raymond James Broker-Discloses $9M Customer Dispute-Miami, FL

Ramesh Madhusudan-Raymond James Broker-Discloses $9M Customer Dispute-Miami, FL 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 May 11, 2017 May 11, 2017

May 2017-Miami, FL The FINRA records of Ramesh Madhusudan, a stockbroker who is employed by Raymond James Financial Services disclose a prior customer dispute and a currently pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is…

Rex Securities Law
August 19, 2016
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Joseph M. Thurnherr-Former First Standard Financial Broker-Discloses Pending Customer Disputes

Joseph M. Thurnherr-Former First Standard Financial Broker-Discloses Pending Customer Disputes 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 August 19, 2016 March 5, 2018

UPDATE MARCH 2018-Joseph M. Thurnherr is now employed by Spartan Capital Securities and has another customer dispute disclosed on his BrokerCheck report. See this for details. Meyers Associates is now …

Rex Securities Law
July 7, 2016
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Kenley Brisard -Former RIdgeway & Conger Broker-Discloses Regulatory Investigation and Termination From Employment

Kenley Brisard -Former RIdgeway & Conger Broker-Discloses Regulatory Investigation and Termination From Employment 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 July 7, 2016 July 7, 2016

Jericho, New York According to FINRA records, Kenley Brisard , a stockbroker who formerly worked for Ridgeway & Conger discloses a pending regulatory matter, a final customer dispute and 2 terminations from employment and 3 pending judgment/liens.…

Rex Securities Law
May 10, 2016
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Nathaniel R. Clay-Former National Securities Corp Broker-Named in Customer Arbitration

Nathaniel R. Clay-Former National Securities Corp Broker-Named in Customer Arbitration 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 May 10, 2016 January 22, 2019

Updated January 2019-New York According to FINRA records, Nathaniel Royce Clay , a broker with Laidlaw & Company, discloses a pending customer dispute, 5 prior customer disputes, a termination from employment and…