Capitol Securities Management problem

  • Robert Rex, Esq.

Investigation of Capitol Securites Broker Ian Greenblatt (aka Eric Green )-Melville, NY
Investigation of Capitol Securites Broker Ian Greenblatt (aka Eric Green )-Melville, NY 150 150 Robert Rex, Esq.

April 2017- Melville, New York The FINRA records of  Ian Greenblatt (aka Eric Green ) ,  a  stockbroker who is  employed by  Capitol Securities Management  disclose 3 prior final customer disputes. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Steve D. Heath-Former LPL Financial Broker-Discloses Termination From Employment
Steve D. Heath-Former LPL Financial Broker-Discloses Termination From Employment 150 150 Robert Rex, Esq.

July 2016-Newport News, VA The FINRA records of Steve D. Heath ,  a  stock broker who is currently  employed  by Capitol Securities Management  , disclose 2 terminations and one final financial event. The Financial Industry Regulatory Authority (FINRA) is…

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  • Robert Rex, Esq.

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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  • Robert Rex, Esq.

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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