August 2021, New York, NY
According to publicly available records Joseph Omar “Joey”Gebron (CRD#2764264) , a stockbroker who is currently registered with SW Financial , discloses 7 prior customer disputes, one pending customer dispute and a termination from employment.
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 as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In the currently pending matter (GD-13-000470, Court of Common Pleas of Allegheny County, PA) , a customer of Mercer Capital is seeking $820,000 and alleges unauthorized trading, misrepresentation and omissions in connection with the sale of a private placement.
In September 2012, a Mercer Capital, Ltd. customer filed FINRA case 12-03062 alleging misrepresentation, negligence and breach of contract. The case settled for $20,000 with the entire sum paid individually by Gebron.
In February 2012, a customer of National Securities Corporation, filed FINRA case #12-00449 alleging negligence, breach of fiduciary duty and breach of contract. The case settled for $47,500 with an individual contribution from Gebron in the amount of $20,000.
In May 2011, a customer of Mercer Capital, Ltd. filed FINRA case #11-02216 alleging unsuitable recommendations, violation of common law fraud, breach of fiduciary duty and negligence. THe case settled for $45,000 with the entire sum paid individually by Gebron.
In January 2010, a customer of Mercer Capital, Ltd., filed FINRA case #10-00059 alleging misrepresentation, omission of material fact and negligence. The case settled for $9,500 entirely paid by Gebron.
In November 2009, a customer of Mercer Capital, Ltd., filed FINRA case #09-06536 alleging suitability, negligence, gross negligence and breach of fiduciary duty. The case settled for $50,000 with $25,000 paid individually by Gebron.
In May 2008, a Mercer Capital, Ltd. customer filed FINRA case $08-01285 alleging sales practice. The case settled for $7,000 paid entirely by Gebron.
Joseph Gebron has been employed by SW Financial since 12/2019. He was previously employed with Worden Capital Management from 8/2017-12/2019 and Benjamin & Jerold Brokerage from September 2016 until August 2017. Before that he was with Meyers Associates and National Securities Corp. Gebron discloses business affiliations with Open Field Consulting Group.
If you have questions about an investment account handled by Joey Gebron contact us for a no charge consultation to learn about your legal options.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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