Tag Archives: Pending

Steven Pagartanis Sanctioned and Barred by FINRA, Named in Pending SEC Fraud Charges

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 7, 2018 indicate that former New York-based Lombard Securities broker Steven Pagartanis has been sanctioned by FINRA and barred from acting as a broker, and has … Continue reading

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CAFC Clarifies SAS Impact on Pending Appeals

CAFC Has Jurisdiction Where SAS Relief Waived The impact of the Supreme Court’s decision in SAS Institute has been immediate and far-reaching. As explained last week, the courts have quickly realized the import of this Patent Trial & Appeal Board (PTAB) … Continue reading

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Bill Pending in New Jersey Legislature Would Protect Employment of Medical Marijuana Patients

New Jersey is among the majority of the states in the U.S. in allowing, under the supervision of a doctor, the possession and use of marijuana for medical purposes. The New Jersey Compassionate Use Medical Marijuana Act (CUMA), N.J. Rev. … Continue reading

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James MacKenzie Has a Pending Customer Dispute

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 30, 2018 indicate that New Jersey-based Hennion & Walsh broker/adviser James MacKenzie has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors … Continue reading

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Thomas Eades-RBC Capital Broker-Has Two Pending Customer Disputes-Dallas, TX

Rex Securities Law-Nationwide representation of investors seeking recovery of losses due to stockbroker malpractice. May 2018-Dallas, Texas The FINRA records of  Thomas H. Eades ,  a  stockbroker who works for RBC Capital Markets disclose 2 recently filed and pending customer disputes seeking damages … Continue reading

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