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National Securities Corporation complaint

Christos A. Kalatoudis-Former Worden Capital Broker-Discloses Regulatory Events & Pending Judgment/Liens
Christos A. Kalatoudis-Former Worden Capital Broker-Discloses Regulatory Events & Pending Judgment/Liens 150 150 Rex Securities Law

July 2016-Lake Success, New York The FINRA records of Christos A. Kalatoudis ,  a currently unlicensed stock broker who was last employed by Worden Capital Management, disclose  2 prior regulatory events,  4 prior finalized customer disputes and 2…

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Maximillian Santos-Former National Securities Corp Broker-Discloses Pending Regulatory Matter
Maximillian Santos-Former National Securities Corp Broker-Discloses Pending Regulatory Matter 150 150 Rex Securities Law

July 2016- New York The FINRA records of Maximillian Santos  , a stock broker who most recently worked for Blackbook Capital, LLC  , disclose  a currently pending regulatory matter, a prior final regulatory event and a termination from employment.…

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Pranav Patel-Former Dawson James Broker-Named in ForceField Energy Suit-Boca Raton, FL
Pranav Patel-Former Dawson James Broker-Named in ForceField Energy Suit-Boca Raton, FL 150 150 Rex Securities Law

July 2016- Boca Raton, FL The FINRA records of Pranav V. Patel  (CRD 5391213), a stock broker who formerly was employed by Dawson James Securities , disclose that he was recently named in a customer dispute. In…

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Leigh M. Garber-Former Ridgeway & Conger Broker-Discloses Regulatory Investigation Over Excessive Markups
Leigh M. Garber-Former Ridgeway & Conger Broker-Discloses Regulatory Investigation Over Excessive Markups 150 150 Rex Securities Law

Jericho, New York According to FINRA records,  Leigh M. Garber ,   a stockbroker who formerly worked for  Ridgeway & Conger   discloses a pending regulatory matter and a prior final regulatory matter. The Financial Industry Regulatory Authority…

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Glen Rauch-Former Avenir Financial Broker-Accused of Harassment and Unauthorized Trading
Glen Rauch-Former Avenir Financial Broker-Accused of Harassment and Unauthorized Trading 150 150 Rex Securities Law

UPDATE SEPTEMBER 2016-FINRA named Glen J. Rauch in a complaint alleging that following his termination from registration(see below) he repeatedly sent abusive, obscene, intimidating and threatening messages to a principal of…

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Ralph B. Marra-Former Morgan Stanley Broker-Discloses Two Pending Customer Disputes-Red Bank, NJ
Ralph B. Marra-Former Morgan Stanley Broker-Discloses Two Pending Customer Disputes-Red Bank, NJ 150 150 Rex Securities Law

Red Bank, New Jersey UPDATE July 2016–FINRA records disclose that Ralph B. Marra has an outstanding Internal Revenue Service levy at the court in Freehold New Jersey, in the amount…

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Johnathan W. McHale-Former PHX Financial Broker-Makes Numersous Diclosures On FINRA Record
Johnathan W. McHale-Former PHX Financial Broker-Makes Numersous Diclosures On FINRA Record 150 150 Rex Securities Law

New York According to FINRA records,  Johnathan W. McHale ,   a stock broker  formerly employed by PHX Financial , discloses seven final customer disputes, a termination and 7 pending judgment/liens. The Financial Industry Regulatory Authority (FINRA) is the agency…

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Sean P. McCabe Investigation-Worden Capital Mangement Broker-Discloses Settlement of Customer Disputes
Sean P. McCabe Investigation-Worden Capital Mangement Broker-Discloses Settlement of Customer Disputes 150 150 Rex Securities Law

April 2018 Update– Garden City, New York According to FINRA records,  Sean P. McCabe , currently a broker with Worden Capital Management,  discloses  5 finalized customer disputes. The Financial Industry Regulatory Authority…

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Michael P. McMahon -Former National Securities Corp Stockbroker-Discloses Pending Customer Disputes-NY
Michael P. McMahon -Former National Securities Corp Stockbroker-Discloses Pending Customer Disputes-NY 150 150 Rex Securities Law

Garden City, New York MAY 2017 UPDATE–MCMahon’s FINRA record discloses 5 pending and 11 final customer disputes. In 11/2016 FINRA case 15-1558 was settled for $400,000 to resolve allegations by…

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