American Capital Partners problem

Craig D. Dima-Former K.C. Ward Financial Broker-Barred From Securities Industry

Craig D. Dima-Former K.C. Ward Financial Broker-Barred From Securities Industry 150 150 Robert Rex, Esq.

June 2017- Ronkonkoma, NY The FINRA records of Craig D. Dima ,  a former  stock broker who was last employed by K. C. Ward Financial  disclose 3 prior regulatory events,  5 prior customer disputes, 2…

read more

Timothy Longo-Former Trident Partners Broker-Subject of Customer Suits-Hauppauge, NY

Timothy Longo-Former Trident Partners Broker-Subject of Customer Suits-Hauppauge, NY 150 150 Robert Rex, Esq.

May 2018-Hauppauge, New York 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…

read more

South Carolina Regulators Seek to Take Securities License of Mark Hotton

South Carolina Regulators Seek to Take Securities License of Mark Hotton 150 150 Robert Rex, Esq.

June 23, 2015- Columbia, South Carolina The Securities Commissioner for South Carolina filed a Rule to Show Cause seeking to permanently ban Mark Christopher Hotton from the securities industry. In 2013…

read more

You cannot copy content of this page

Verified by MonsterInsights