churning Archives

Robert Rex, Esq.
August 3, 2016

Joe M. Pazmino-Aegis Capital StockBroker-Discloses 2 Customer Complaints for Excessive Trading-New York

Joe M. Pazmino-Aegis Capital StockBroker-Discloses 2 Customer Complaints for Excessive Trading-New York https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g August 3, 2016 August 3, 2016

New York UPDATE MAY 2017-FINRA Case 13-3289 alleging churning, unsuitable use of margin and poor recommendations was settled for $390,000. ORIGINAL POST August 2016– The FINRA records of Joe M. Pazmino , a stock…

Robert Rex, Esq.
July 18, 2016

Andre V. Labarbera-Former Newport Coast Securities Broker-Discloses FINRA Investigation for Churning

Andre V. Labarbera-Former Newport Coast Securities Broker-Discloses FINRA Investigation for Churning https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g July 18, 2016 July 18, 2016

July 2016-Dix Hills, NY The FINRA records of Andre V. Labarbera , a stock broker currently employed by Titus Rockefeller , disclose a pending regulatory event and 5 prior customer disputes and a currently pending customer dispute. The…

Robert Rex, Esq.
June 20, 2016

John N. Crook-Former Raymond James Broker-Discloses $4.8 M Customer Suit-Macon, GA

John N. Crook-Former Raymond James Broker-Discloses $4.8 M Customer Suit-Macon, GA https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 20, 2016 June 20, 2016

September 2019-Macon, Georgia According to FINRA records, John Nelson Crook , a stockbroker who currently works for Prospera Financial Services , discloses a termination from employment, a currently pending customer dispute and a prior finalized…

Robert Rex, Esq.
March 18, 2016

Edward Beyn-Former Craig Scott Capital Broker-Named In FINRA Churning Complaint

Edward Beyn-Former Craig Scott Capital Broker-Named In FINRA Churning Complaint https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g March 18, 2016 March 18, 2016

March 16, 2016-Uniondale, New York Beyn’s Excessive Trading Generated Commissions of $1.7M The Financial Industry Regulatory Authority (FINRA) filed a complaint against former Craig Scott Capital broker Edward Beyn alleging…

Robert Rex, Esq.
January 6, 2016

Zachary Bader-Former Craig Scott Capital Broker Barred From Industry for Churning Customer Account

Zachary Bader-Former Craig Scott Capital Broker Barred From Industry for Churning Customer Account https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g January 6, 2016 January 6, 2016

November 13, 2015-Melville NY Rex Securities Law is investigating options for recovery for investors who suffered damages in brokerage accounts handled by Zachary T. Bader. Zachary Bader , entered into a Letter…

Robert Rex, Esq.
November 23, 2015

Denny Darmodihardjo, Former Rockwell Global Capital Broker, Sanctioned for Excessive Trading

Denny Darmodihardjo, Former Rockwell Global Capital Broker, Sanctioned for Excessive Trading https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g November 23, 2015 November 23, 2015

October 14, 2015- Fort Lauderdale, Florida Denny P. Darmodihardjo , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from September 2009-July…

Robert Rex, Esq.
July 16, 2015

Cape Securities Fined $125K by Securities Regulators

Cape Securities Fined $125K by Securities Regulators https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g July 16, 2015 July 16, 2015

May 5, 2015 Cape Securities entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that: from 2/2012-9/2012 Cape Securities failed…

Robert Rex, Esq.
April 23, 2015

Bruce Schoendorf-Houston Stock Broker- Suspended for Trading Account Without Client’s Permission

Bruce Schoendorf-Houston Stock Broker- Suspended for Trading Account Without Client’s Permission https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g April 23, 2015 April 23, 2015

April 8, 2015- Austin, Texas The Texas State Securities Board (TSSB) suspended Bruce William Schoendorf, an investment adviser of Hurwitz Associates, for ten days for exercising discretion in a client account…

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