Churning Archives

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July 29, 2021

David Martirosian-Former Joseph Stone Capital Broker-Permanently Barred From FINRA- NYC, NY

David Martirosian-Former Joseph Stone Capital Broker-Permanently Barred From FINRA- NYC, NY https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/2d44fc1bb37bf9f3e58c25efde680e115458389810b3021a82de67eab0575506?s=96&d=mm&r=g July 29, 2021 July 29, 2021

July 2021- New York, NY According to publicly available records David Martirosian (CRD#5261144), a former stockbroker who last worked for Joseph Stone Capital, has been permanently barred from FINRA. The…

Robert Rex, Esq.
July 28, 2021

John Calardo- Former Worden Capital Broker- Discloses $300K Pending Customer Suit Alleging Churning- NYC

John Calardo- Former Worden Capital Broker- Discloses $300K Pending Customer Suit Alleging Churning- NYC https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g July 28, 2021 July 28, 2021

July 2020, New York, NY According to publicly available records John Calardo (CRD# 6063938) , a currently unregistered stockbroker who previously registered with Four Points Capital Partners & Worden Capital Management,…

Robert Rex, Esq.
July 24, 2021

Jason A. Wilk-Former Worden Capital Broker-Suspended by FINRA-New York

Jason A. Wilk-Former Worden Capital Broker-Suspended by FINRA-New York https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g July 24, 2021 July 24, 2021

August 2021-New York, NY According to publicly available records Jason Andrew Wilk , a former stockbroker who is not currently registered and who was last employed by Worden Capital Management ,…

Robert Rex, Esq.
July 12, 2021

Brokerage Firm Joseph Gunnar Discloses Regulatory Issues and Customer Disputes

Brokerage Firm Joseph Gunnar Discloses Regulatory Issues and Customer Disputes https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g July 12, 2021 July 12, 2021

July 2021-NYC Brokerage firm Joseph Gunnar & Co. was founded in 1997 and is headquartered in New York City. According to their website they have 250 financial consultants with eight…

Robert Rex, Esq.
April 17, 2021

Triad Advisors to Pay $194,000 in Fines and Restitution for Allowing Churning of Accounts

Triad Advisors to Pay $194,000 in Fines and Restitution for Allowing Churning of Accounts https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g April 17, 2021 April 17, 2021

February 2020-Norcross, GA FINRA reports that Triad Advisors,LLC, a national, independent broker-dealer and multi-custodial SEC-Registered Investment Advisor, headquartered in Atlanta, has been fined and ordered to pay restitution to customers…

Robert Rex, Esq.
November 3, 2020

Stuart Henley-Former Morgan Stanley Broker- Discloses Regulatory Event,Customer Dispute Settled for $800K and a Termination-Tampa, FL

Stuart Henley-Former Morgan Stanley Broker- Discloses Regulatory Event,Customer Dispute Settled for $800K and a Termination-Tampa, FL https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g November 3, 2020 November 3, 2020

November 2020- Tampa, FL According to publicly available records Stuart Henley (CRD#1368973), a former stockbroker who last worked for Harmony Asset Management, discloses a regulatory event, a final customer dispute…

Robert Rex, Esq.
October 20, 2020

Peter D Nett-Ameriprise Broker- Discloses Pending Customer Dispute-The Woodlands, TX

Peter D Nett-Ameriprise Broker- Discloses Pending Customer Dispute-The Woodlands, TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g October 20, 2020 October 20, 2020

October 2020- The Woodlands, TX According to publicly available records, Peter Dieter Nett (CRD#4506990), a stockbroker employed with Ameriprise Financial Services, Inc., disclose a recently filed customer dispute. The Financial…

Robert Rex, Esq.
February 7, 2020

Ramon Arturo Herrera-Former Wells Fargo Broker-Discloses Customer DIsputes Alleging Theft-Jersey City, NJ

Ramon Arturo Herrera-Former Wells Fargo Broker-Discloses Customer DIsputes Alleging Theft-Jersey City, NJ https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g February 7, 2020 February 7, 2020

February 2020-Jersey City, NJ According to publicly available records of Ramon Arturo Herrera (CRD#6021170) , a former stockbroker who last worked for Wells Fargo Clearing Services, discloses 2 regulatory events and…

Robert Rex, Esq.
January 30, 2020

Philip Joseph Sparacino-Former First Standard Financial Broker- Discloses Regulatory Events,Customer Dispute and Termination- Red Banks, NJ

Philip Joseph Sparacino-Former First Standard Financial Broker- Discloses Regulatory Events,Customer Dispute and Termination- Red Banks, NJ https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g January 30, 2020 January 30, 2020

January 2020-Red Bank, NJ According to publicly available records of Philip Joseph Sparacino (CRD#3243960) , a former stockbroker who last worked for First Standard Financial, discloses 2 regulatory events, a pending…

Robert Rex, Esq.
January 30, 2020

Wells Fargo Advisors Fined by Regulator for Account Churning

Wells Fargo Advisors Fined by Regulator for Account Churning https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g January 30, 2020 January 30, 2020

January 2020 The Financial Industry Regulatory Authority (FINRA) assessed a fine of $175,000 and censured Wells Fargo Advisors for failing to supervise their financial advisor who churned the account of…

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