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https://www.bbb.org/us/ny/melville/profile/investment-security/rockwell-global-capital-llc-0121-136382
Rockwell Global Capital, LLC; Rockwell Global Capital, LLC Investment Security. 125 Baylis Road, Suite 280. Melville, NY 11747 ... BBB asks third parties who publish complaints, reviews and/or ...
https://www.securitieslawyersblog.com/three-rockwell-global-capital-brokers-accused-securities-misconduct-customers/
Apr 03, 2014 · Rockwell Global Capital LLC (Rockwell) brokers Robert E. Lee Jr. (Robert Lee), Douglas Guarino (Guarino), and Lawrence Lee (Lee) have been the subject of at least 29 combined customer complaints. All three brokers have been accused by clients of churning their accounts and making unsuitable investment recommendations.
https://www.ripoffreport.com/reports/lars-soreide-law-firm/fort-lauderdale-florida-33301/lars-soreide-law-firm-unethical-fort-lauderdale-florida-960922
Jun 23, 2013 · Law360, New York (October 31, 2011, 10:07 PM ET) -- Rockwell Global Capital LLC sued a former employee, a former customer and a Florida securities lawyer for $15 million on Monday, accusing them of conspiring to obtain confidential company information in order to lodge regulatory actions against the brokerage.
https://stockbrokerfraud.com/rockwell-global-capital-sued-fraud/
Douglas Joseph Guarino, of Melville, New York, a stockbroker formerly registered with Rockwell Global Capital LLC, has been named in a customer initiated investment related arbitration claim on June 25, 2015, in which the customer requested $205,000.00 in damages based upon allegations of the firm’s failure to supervise Guarino’s activities involving equity transactions effected in …
https://www.securitieslawyersblog.com/brokerage-firm-spotlight-investor-claims-churning-rockwell-global-capital/
Jan 13, 2015 · The law offices of Gana Weinstein LLP is investigating Rockwell Global Capital LLC (Rockwell) after having filed a complaint on behalf of an investor. We — January 13, 2015 — Brokerage Firm Spotlight: Investor Claims of Churning Against Rockwell Global Capital
https://stockbrokerfraud.com/rockwell-global-capital-stockbroker-suspended-unauthorized-trading/
Aug 25, 2016 · Patrick William Lofaro, of Melville, New York, a stockbroker with Rockwell Global Capital LLC, was fined $10,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity after consenting to findings that he engaged in the unauthorized discretionary trading in a customer account.Letter of Acceptance, Waiver and Consent, …
https://www.wolperlawfirm.com/investor-alert-worden-capital-management-financial-advisor-richard-reynolds-has-ten-customer-complaints/
Richard F. Reynolds is a Financial Advisor at Worden Capital Management LLC in Melville, NY. Richard Reynolds has been in the securities industry since 1991 and previously worked at South Richmond Securities, Inc., Rickel & Associates, Inc., Gruntal & Co., LLC, Janney Montgomery Scott LLC, American Capital Partners, LLC and Rockwell Global Capital LLC. According …
https://www.erezlaw.com/carl-antaki/
“Commissions, unsuitability and use of margin.” The customer sought $300,000 in damages and the case was settled for $62,500. The complaint took place while Antaki was registered with Rockwell Global Capital LLC and was regarding common and preferred stocks.
https://www.securitieslawattorneys.net/%e2%80%83/
Dec 02, 2016 · The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Murray (CRD# 3036275). Robert Murray has spent sixteen years in the securities industry and has been registered with Joseph Stone Capital in …
https://brokerfraudrecovery.com/2016/10/14/cmd-investigating-claims-against-richard-gomez-for-unsuitable-recommendations-and-failure-to-supervise/
Oct 14, 2016 · Securities law firm Carmel, Milazzo & DiChiara LLP (CMD) is investigating claims against securities broker Richard Gomez and brokerage firms Woodstock Financial Group Inc. and Rockwell Global Capital, LLC for unsuitable recommendations and failure to supervise.
https://www.finance-review.com/financial-private-capital-llc/
You should probably know this about Global Financial Private Capital Llc Complaints Global Financial Private Capital Llc Complaints ... Innovative solutions rockwell: Invesco perpetual sedol alliance finance corporation: ... Get more info about Global Financial Private Capital Llc Complaints related to your area
https://www.sec.gov/Archives/edgar/data/1043846/000119312514163572/d670505dex99262b.htm
BROKER DEALER : TAX ID / BROKER DEALER : APPROVAL DATE: Capital One Investment Services LLC : 26-2445188 : 8/25/2004: Capitol Securities Management, Inc.
https://seekingalpha.com/instablog/5396101-robert-w-pearce/4928710-need-information-westpark-capital-broker-lawrence-j-fawcett-jr
Oct 28, 2016 · We Need Information About Westpark Capital Broker Lawrence J. Fawcett Jr. ... and customer complaints, against the firm and broker. ... EKN Financial Services Inc., Rockwell Global Capital LLC ...Author: Robert W Pearce
https://www.silverlaw.com/blog/jeffrey-snyder-rockwell-global-capital-barred-finra/
Aug 02, 2016 · Check out the new article Jeffrey Snyder, Rockwell Global Capital Barred by FINRA on silverlaw.com. Check out the new article Jeffrey Snyder, Rockwell Global Capital Barred by FINRA on silverlaw.com. Free Consultation: (800) ... Spartan Capital Securities LLC New York,NY 08/08-04/12; The Concord Equity Group LLC Iselin, NJ 06/08-08/08 ...
https://www.silverlaw.com/blog/denny-darmodihardjo-suspended-finra-securities-industry/
Jan 21, 2016 · He has received more than 10 customer complaints, one financial disclosure, and has been the subject of two other regulatory actions and 4 other judgements or liens. Mr. Darmodihardjo was most recently registered with Rockwell Global Capital LLC of Ft. Lauderdale, FL from 05/07-08/15.
https://www.erezlaw.com/former-aegis-capital-corp-financial-advisor-steven-luftschein-14-customer-complaints/
Former Aegis Capital Corp. Financial Advisor Steven Luftschein Has 14 Customer Complaints. Posted on Tuesday, October 24th, 2017 at 10:29 am . Erez Law is currently investigating former Aegis Capital Corp. financial advisor Steven Luftschein (CRD# 2690117) regarding unsuitable recommendations, unauthorized trades and other securities violations.. Luftschein has been registered with Joseph ...
https://www.securitieslawattorneys.net/jonothan-lieberman/
Dec 16, 2016 · In 2015 Jonathan Lieberman was terminated from his position at Rockwell Global Capital following allegations that after a customer’s complaint involving an unauthorized trade, he corresponded with the customer using his personal email, in contravention of firm policy, and attempted to privately negotiate a settlement.
https://www.rockwelllegalgroup.com/
Rockwell Legal Group, PLLC is a private law firm and is not affiliated with any governmental agency, quasi-governmental agency, or charitable organization. Rockwell Legal Group, PLLC practices under a trade name and therefore in states where required, utilizes the services of and identifies the duly licensed lawyers in those states.
https://files.brokercheck.finra.org/individual/individual_5475175.pdf
04/2014 - 12/2014 ROCKWELL GLOBAL CAPITAL, LLC MELVILLE, NY 01/2008 - 04/2014 NATIONAL SECURITIES CORPORATION WESTBURY, NY Other Business Activities This section includes information, if any, as provided by the broker regarding other business activities the broker is
http://www.yourbadcreditcard.net/jefferson-capital-systems-llc/
Jefferson Capital Systems, LLC is an aggressive third-party debt collection agency. They’re headquartered in St. Cloud, Minnesota. They primarily service and collect charge off debt. Jefferson Capital is what the industry calls a junk debt buyer. Because it appears, Jefferson Capital International will actually purchase the rights to your account.
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