John J. Labeck
Professional summary
John J Labeck was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
John is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, John had worked at 9 firms, which includes LEGEND MERCHANT GROUP INC., STRATEGIC RISK MANAGEMENT INC., ISLAND SECURITIES INC., CORTLANDT CAPITAL CORPORATION, PATAGON.COM SECURITIES CORP., EQUITIES INTERNATIONAL SECURITIES INC., LOMBARD SECURITIES CORP., SANDHURST SECURITIES LTD., NORBAY SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 27, 1996 - February 14, 1997
LEGEND MERCHANT GROUP, INC.
January 23, 1996 - February 14, 1996
STRATEGIC RISK MANAGEMENT, INC.
December 7, 1993 - August 14, 1995
ISLAND SECURITIES, INC.
August 22, 1991 - December 14, 1993
CORTLANDT CAPITAL CORPORATION
May 4, 1988 - November 27, 1991
PATAGON.COM SECURITIES CORP.
January 25, 1988 - May 12, 1988
EQUITIES INTERNATIONAL SECURITIES, INC.
December 16, 1987 - January 7, 1988
LOMBARD SECURITIES CORP.
October 3, 1986 - September 26, 1988
SANDHURST SECURITIES LTD.
March 19, 1986 - October 3, 1986
NORBAY SECURITIES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
LEGEND MERCHANT GROUP, INC.
CRD#: 5155 / SEC#: 801-63525, 8-21703
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEDGE END CORP. | OWNER | |
| UNSWORTH, DAVID WOODS JR | CHAIRMAN, CCO, CEO & PRESIDENT | 1609040 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 4 |
| Judgment/Lien | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
