churning by stock broker Archives

Robert Rex, Esq.
August 3, 2016

David Perez-Aegis Capital Stock Broker-Discloses Customer Disputes for Excessive Trading

David Perez-Aegis Capital Stock Broker-Discloses Customer Disputes 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 August 3, 2016 August 3, 2016

August 2016-New York The FINRA records of David Perez , a stock broker who is currently employed by Aegis Capital Corp. , disclose a pending customer dispute, a prior final customer dispute and 5 outstanding judgment/liens. The…

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 20, 2016

Michael A. Valdini-Worden Capital Management Broker-Discloses Churning Complaints

Michael A. Valdini-Worden Capital Management Broker-Discloses Churning Complaints 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 20, 2016 July 20, 2016

Rockville Center, New York UPDATE MAY 2017–Michael Valdini discloses two additional currently pending customer disputes: FINRA Case 16-3569- a customer of J.D. Nicholas & Assoc. alleges damages of $2.1 million…

Robert Rex, Esq.
July 18, 2016

David M. Levy-Former Newport Coast Securities Broker-Barred by FINRA

David M. Levy-Former Newport Coast Securities Broker-Barred by FINRA 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

UPDATE November 2016-Wellington, FL —FINRA permanently barred David Michael Levy finding that the trading activity in all of the customer accounts at issue was excessive and inconsistent with the customer’s…

Robert Rex, Esq.
July 18, 2016

Douglas A. Leone-Former Newport Coast Securities Broker-Discloses Regulatory Investigation for Churning

Douglas A. Leone-Former Newport Coast Securities Broker-Discloses Regulatory 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-Farmingdale, NY The FINRA records of Douglas A. Leone , a stock broker currently employed by Salomon Whitney Financial , disclose a pending regulatory event and 7 prior customer disputes, The Financial Industry Regulatory Authority (FINRA) is the…

Robert Rex, Esq.
July 16, 2016

Raymond J. Pirrello-Former Garden State Securities Broker-Named in SEC Insider Trading Complaint

Raymond J. Pirrello-Former Garden State Securities Broker-Named in SEC Insider Trading 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 July 16, 2016 July 16, 2016

MARCH 2018 UPDATE-Pirrello Named in customer arbitration alleging churning. See this for details. May 2017 UPDATE-FINRA records disclose that Raymond J. Pirrello, Jr. has 9 prior final customer disputes and…

Robert Rex, Esq.
May 24, 2016

Shawn M. McIntyre-Feltl & CO. Broker- Discloses $300K Settlement With Customer-Minneapolis, MN

Shawn M. McIntyre-Feltl & CO. Broker- Discloses $300K Settlement With Customer-Minneapolis, MN 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 May 24, 2016 September 29, 2023

Minneapolis, MN According to FINRA records, Shawn M. McIntyre , a broker who has been registered with Feltl & Company since 12/2003 , discloses 3 prior customer complaints and one pending judgment/lien. The Financial…

Robert Rex, Esq.
May 24, 2016

Bernard T. Weber-Feltl & Co. Broker-Discloses Pending Customer Complaint Alleging Churning

Bernard T. Weber-Feltl & Co. Broker-Discloses Pending Customer Complaint Alleging 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 May 24, 2016 September 29, 2023

MAY 2018 UPDATE-Minnetonka, MN According to FINRA records, Bernard T. Weber , a broker who has been registered with Feltl & Company since 12/2006 , discloses five prior customer disputes, two final regulatory…

Robert Rex, Esq.
May 15, 2016

Mark Ketner-Maxim Group Broker-Discloses Customer Dispute for Excessive Trading

Mark Ketner-Maxim Group Broker-Discloses Customer Dispute 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 May 15, 2016 May 15, 2016

May 2016-Woodbury, 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 and disputes…

Robert Rex, Esq.
May 14, 2016

Joseph Connolly-Former Alexander Capital Stockbroker-Named in Churning Complaint

Joseph Connolly-Former Alexander Capital Stockbroker-Named in 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 May 14, 2016 May 14, 2016

UPDATE August 2016–Joseph Connolly Named in Churning Complaint by Montana Securities Regulator. Follow this link for details. May 2016- Staten Island The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates…

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