National Securities Corporation

  • Robert Rex, Esq.

Glen Rauch-Former Avenir Financial Broker-Accused of Harassment and Unauthorized Trading
Glen Rauch-Former Avenir Financial Broker-Accused of Harassment and Unauthorized Trading 150 150 Robert Rex, Esq.

UPDATE SEPTEMBER 2016-FINRA named Glen J. Rauch in a complaint alleging that following his termination from registration(see below) he repeatedly sent abusive, obscene, intimidating and threatening messages to a principal of…

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  • Robert Rex, Esq.

Ralph B. Marra-Former Morgan Stanley Broker-Discloses Two Pending Customer Disputes-Red Bank, NJ
Ralph B. Marra-Former Morgan Stanley Broker-Discloses Two Pending Customer Disputes-Red Bank, NJ 150 150 Robert Rex, Esq.

Red Bank, New Jersey UPDATE July 2016–FINRA records disclose that Ralph B. Marra has an outstanding Internal Revenue Service levy at the court in Freehold New Jersey, in the amount…

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  • Robert Rex, Esq.

Johnathan W. McHale-Former PHX Financial Broker-Makes Numersous Diclosures On FINRA Record
Johnathan W. McHale-Former PHX Financial Broker-Makes Numersous Diclosures On FINRA Record 150 150 Robert Rex, Esq.

New York According to FINRA records,  Johnathan W. McHale ,   a stock broker  formerly employed by PHX Financial , discloses seven final customer disputes, a termination and 7 pending judgment/liens. The Financial Industry Regulatory Authority (FINRA) is the agency…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Network 1 Financial Securities Broker Sean P. McCabe
Rex Securities Law Investment Fraud Attorney Investigates Network 1 Financial Securities Broker Sean P. McCabe 150 150 Robert Rex, Esq.

Last Updated: October 2023 (Hauppauge, NY) Sean P. McCabe Investigation Summary Here’s what you need to know about Hauppauge, NY, stockbroker Sean P. McCabe: Name: Mr. Sean P. McCabe Current…

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  • Robert Rex, Esq.

Michael P. McMahon -Former National Securities Corp Stockbroker-Discloses Pending Customer Disputes-NY
Michael P. McMahon -Former National Securities Corp Stockbroker-Discloses Pending Customer Disputes-NY 150 150 Robert Rex, Esq.

Garden City, New York MAY 2017 UPDATE–MCMahon’s FINRA record discloses 5 pending and 11 final customer disputes. In 11/2016 FINRA case 15-1558 was settled for $400,000 to resolve allegations by…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Christopher Kazan formerly with National Securities Corp.
Rex Securities Law Investment Fraud Attorney Investigates Christopher Kazan formerly with National Securities Corp. 150 150 Robert Rex, Esq.

Last Updated: September 2023 (White Plains, NY) Christopher Kazan Investigation Summary Here’s what you need to know about White Plains, NY, stockbroker Christopher Kazan: Name: Mr. Christopher Kazan Current Employer:…

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  • Robert Rex, Esq.

Pranav Patel-Former Dawson James Broker-Indicted for Securities Fraud-Boca Raton
Pranav Patel-Former Dawson James Broker-Indicted for Securities Fraud-Boca Raton 150 150 Robert Rex, Esq.

UPDATE June 2016–Pranav Patel named in civil action seeking damages related to sale of ForceField Energy, Inc. Follow this link for more information.  May 2016-Boca Raton, FL The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Levert Caldwell Named in Customer Arbitration-National Securities Corporation
Levert Caldwell Named in Customer Arbitration-National Securities Corporation 150 150 Robert Rex, Esq.

May 2016- Staten Island 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 Rex, Esq.

Geoffrey Garratt Named In Customer Arbitration-National Securities Corporation
Geoffrey Garratt Named In Customer Arbitration-National Securities Corporation 150 150 Robert Rex, Esq.

May 2016- Staten Island 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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