Churning

  • Robert Rex, Esq.

Anthony Sica-Joseph Gunnar Broker-Subject of $750K Customer Suit-New York
Anthony Sica-Joseph Gunnar Broker-Subject of $750K Customer Suit-New York 150 150 Robert Rex, Esq.

September 2021- New York The FINRA records of Anthony Sica  , a stock broker who is employed by Joseph Gunnar & Co. , disclose a pending customer suit,  3 regulatory sanctions and  3 prior…

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  • ER

Efrain Truijillo -Western International Securities Broker- Sanctioned by FINRA- Los Angeles, CA
Efrain Truijillo -Western International Securities Broker- Sanctioned by FINRA- Los Angeles, CA 150 150 ER

September 2021- Los Angeles, CA According to publicly available records,  Efrain Balderrama Trujillo a broker employed by Western International Securities, Inc. discloses a regulatory event and a prior customer dispute.…

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  • ER

Brett Briggs-Western International Securities Broker- Permanently Barred from FINRA- Bolton, MA
Brett Briggs-Western International Securities Broker- Permanently Barred from FINRA- Bolton, MA 150 150 ER

August 2021- Bolton, MA According to publicly available records,  Brett Briggs a broker currently employed by Western International Securities, Inc. discloses 5 regulatory events and 5 prior customer disputes. The Financial…

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  • ER

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 150 150 ER

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…

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  • Robert Rex, Esq.

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 150 150 Robert Rex, Esq.

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,…

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  • Robert Rex, Esq.

Brokerage Firm Joseph Gunnar Discloses Regulatory Issues and Customer Disputes
Brokerage Firm Joseph Gunnar Discloses Regulatory Issues and Customer Disputes 150 150 Robert Rex, Esq.

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…

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  • Robert Rex, Esq.

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 150 150 Robert Rex, Esq.

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…

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