Michael P. Dalessandro-Investment Center Broker-Discloses Customer Dispute Over Oil & Gas Investments

Michael P. Dalessandro-Investment Center Broker-Discloses Customer Dispute Over Oil & Gas Investments 150 150 Robert Rex, Esq.

August  2016-Colt’s Neck, New Jersey The FINRA records of Michael P. Dalessandro ,  a  stock broker who is currently  employed  by The Investment Center  , disclose a pending customer dispute and a prior final customer dispute. The…

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The Investment Center Fined $50K For Sale of Energy Stocks to Texas Residents

The Investment Center Fined $50K For Sale of Energy Stocks to Texas Residents 150 150 Robert Rex, Esq.

August 2016- Austin Texas The Texas State Securities Board (TSSB) sanctioned The Investment Center, Inc. , a New Jersey securities dealer registered in Texas for failing to supervise one of…

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Rick J. Sande-Aegis Capital Broker-Discloses Customer Dispute Alleging Churning

Rick J. Sande-Aegis Capital Broker-Discloses Customer Dispute Alleging Churning 150 150 Robert Rex, Esq.

August  2016-Melville, New York The FINRA records of Rick J. Sande ,  a  stock broker who is currently  employed  by Aegis Capital Corp.  , disclose a pending customer dispute and a prior final customer dispute. The Financial…

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Joshua L. Feldman-Aegis Capital Broker-Discloses Customer Disputes

Joshua L. Feldman-Aegis Capital Broker-Discloses Customer Disputes 150 150 Robert Rex, Esq.

New York MAY 2018 UPDATE–The FINRA records  of Joshua Feldman disclose settlement of   FINRA arbitration 17-0218, filed by a customer of Aegis Capital Corp who was seeking damages of $110,000 . The customer…

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Lubbock National Bank Hosts Financial Exploitation Seminar Wednesday, August 3, 2016

Lubbock National Bank Hosts Financial Exploitation Seminar Wednesday, August 3, 2016 150 150 Robert Rex, Esq.

August 1, 2016-Lubbock, Texas Lubbock National Bank announces a free seminar on financial exploitation of the elderly to be held on August 3, 2016, at 2:30 PM , at Raider…

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Andrew B. Kramer-Former Capitol Securities Management Broker-Discloses Customer Dispute

Andrew B. Kramer-Former Capitol Securities Management Broker-Discloses Customer Dispute 150 150 Robert Rex, Esq.

July 2016-Brooklyn, NY The FINRA records of Andrew B. Kramer ,  a  stock broker who is currently unlicensed and was most recently employed  by Capitol Securities Management & Kramer Capital Management , disclose a prior regulatory event, 2…

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James B. Moran-Capitol Securities Management Broker-Discloses Customer Dispute

James B. Moran-Capitol Securities Management Broker-Discloses Customer Dispute 150 150 Robert Rex, Esq.

July 2016-Florham Park, NJ The FINRA records of James B. Moran ,  a  stock broker currently employed  by Capitol Securities Management  , disclose a prior regulatory event, a pending customer dispute, 3 prior final customer disputes and a…

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Scott N. Hananel-Aegis Capital Broker-Discloses Pending Customer Complaint Alleging Unauthorized Trading

Scott N. Hananel-Aegis Capital Broker-Discloses Pending Customer Complaint Alleging Unauthorized Trading 150 150 Robert Rex, Esq.

July 2016-Melville , New York The FINRA records of Scott N. Hananel ,  a  stock broker currently employed  by Aegis Capital Corp.  , disclose a pending customer dispute and 2 prior final customer disputes. The Financial Industry Regulatory…

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James B. Schwartz-Former Aegis Capital Broker-Barred for Churning Customer Accounts-New York

James B. Schwartz-Former Aegis Capital Broker-Barred for Churning Customer Accounts-New York 150 150 Robert Rex, Esq.

April 2019-Garden City, New York The FINRA records of James B. Schwartz ,  a  former stock broker  who worked for Aegis Capital from 8/2013-6/2016 and was last employed  by Joseph Gunnar & Co.  , disclose  that…

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