Ascendiant Capital Markets

  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Ascendiant Capital Markets Broker Kellee Bergendahl
Rex Securities Law Investment Fraud Attorney Investigates Ascendiant Capital Markets Broker Kellee Bergendahl 150 150 Robert Rex, Esq.

Last Updated: December 2023 (Jupiter, Florida) Kellee Bergendahl Investigation Summary Here’s what you need to know about Jupiter, FL, stockbroker Kellee Bergendahl: Name: Kellee Patricia Bergendahl Current Employer: Ascendiant Capital…

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  • Robert Rex, Esq.

Trevor M. Carney-Former Axiom Capital Management Broker-Sanctioned by Texas Regulator-Austin, TX
Trevor M. Carney-Former Axiom Capital Management Broker-Sanctioned by Texas Regulator-Austin, TX 150 150 Robert Rex, Esq.

JUNE 2017- Austin, Texas According to publicly available records Trevor M. Carney (CRD#5657735) ,  a  stockbroker who is employed by  Ascendant Alternative Strategies, discloses a recent regulatory event and two outstanding judgment/liens. The Financial…

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  • Robert Rex, Esq.

Charles Posner-Former Ascendiant Capital Markets Broker Sanctioned by Securities Regulator-Boynton Beach, FL
Charles Posner-Former Ascendiant Capital Markets Broker Sanctioned by Securities Regulator-Boynton Beach, FL 150 150 Robert Rex, Esq.

August 5, 2015- Boynton Beach, Florida Charles Posner , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he willfully failed to…

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  • Robert Rex, Esq.

Ascendiant Capital Markets Sanctioned by Securities Regulator
Ascendiant Capital Markets Sanctioned by Securities Regulator 150 150 Robert Rex, Esq.

June 25, 2015 Ascendiant Capital Markets entered into an Order Accepting Offer of Settlement  (Order) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that the company violated FINRA By-Laws,…

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