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rockwell global capital complaints

Steven R. Luftschein-Aegis Capital Broker-Discloses $2M Customer Dispute

Steven R. Luftschein-Aegis Capital Broker-Discloses $2M Customer Dispute 150 150 Rex Securities Law

July 2016-Melville, New York The FINRA records of Steven R. Luftschein ,  a  stock broker currently employed  by Aegis Capital Corp. , disclose a pending customer dispute and 11 prior final customer disputes. The Financial Industry Regulatory…

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Bryan Mazliach-Former Laidlaw & Company Broker-Discloses Customer Arbitrations

Bryan Mazliach-Former Laidlaw & Company Broker-Discloses Customer Arbitrations 150 150 Rex Securities Law

May 2019 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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Robert Murray, III-Joseph Stone Capital Broker-Named in Numerous Customer Arbitrations

Robert Murray, III-Joseph Stone Capital Broker-Named in Numerous Customer Arbitrations 150 150 Rex Securities Law

February 2018 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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Wayne Ford-Former Salomon Whitney Broker-Discloses Pending Customer Dispute & Liens

Wayne Ford-Former Salomon Whitney Broker-Discloses Pending Customer Dispute & Liens 150 150 Rex Securities Law

Farmingdale, New York JANUARY 2017 UPDATE-In January 2017, Wayne F. Ford was suspended by FINRA for failing to comply with an arbitration award or settlement agreement or to satisfactorily respond…

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Vincent Pereira- Private Placement Customer Complaints Settled

Vincent Pereira- Private Placement Customer Complaints Settled 150 150 Rex Securities Law

According to FINRA records, stockbroker Vincent Louis Pereira currently is employed by Alexander Capital, where he has been registered since 2/2015. His previous registrations include: Blackbook Capital      …

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Spartan Capital Securities Stock Broker Barred From Industry-Danbury, CN

Spartan Capital Securities Stock Broker Barred From Industry-Danbury, CN 150 150 Rex Securities Law

October 13, 2015-Danbury, CN Jeffrey David Snyder , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he repeatedly refused…

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