Discretionary Trading

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Douglas Szempruch -Former Aegis Capital Corp. Broker-Suspended by FINRA-Melville, NY
Douglas Szempruch -Former Aegis Capital Corp. Broker-Suspended by FINRA-Melville, NY 150 150 ER

Douglas Szempruch Investigation Former Aegis Capital Financial Advisor November 2021 – Melville, NY According to publicly attained records, Douglas Szempruch, a stockbroker who is not currently registered  and who was last…

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  • 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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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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  • Robert Rex, Esq.

Nathan Katz- Former American Independent Securities Broker- Discloses Regulatory Event and Customer Suits-Largo, FL
Nathan Katz- Former American Independent Securities Broker- Discloses Regulatory Event and Customer Suits-Largo, FL 150 150 Robert Rex, Esq.

September 2021- Largo, FL  According to publicly available records,  Nathan G. Katz a former financial advisor who was previously registered with American Independent Securities Group, discloses a regulatory event barring him from…

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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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Mark Just – Former Triad Advisors Broker-Discloses Regulatory Event & Customer Suits- Indianapolis, IN
Mark Just – Former Triad Advisors Broker-Discloses Regulatory Event & Customer Suits- Indianapolis, IN 150 150 ER

August 2021 – Indianapolis, IN According to publicly available records of Mark William Just (CRD#1138738) ,  a broker who was last employed with Triad Advisors, Inc.,  discloses  a regulatory event, a…

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Kevin David Barton-Crown Capital Securities Broker-Discloses Regulatory Event and 11 Tax Liens-Vista, CA
Kevin David Barton-Crown Capital Securities Broker-Discloses Regulatory Event and 11 Tax Liens-Vista, CA 150 150 ER

July 2021- Vista, CA According to publicly available records of Kevin David Barton   (CRD#2542056) ,  a broker employed with Crown Capital Securities,  discloses  a regulatory event and 11 tax liens. The…

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Paul Spero- Cadaret, Grant & Co. Financial Advisor- Discloses Regulatory Events- Syracuse, NY
Paul Spero- Cadaret, Grant & Co. Financial Advisor- Discloses Regulatory Events- Syracuse, NY 150 150 ER

July 2021- Syracuse, NY According to publicly available records,  Paul Spero a broker with Cadaret, Grant & Co. discloses a regulatory event. The Financial Industry Regulatory Authority (FINRA) is the agency that…

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