Tag Archives: Roger Charles Faubel

Chelsea Financial Stockbroker Fails To Pay Arbitration Award

April 23, 2020  |   Posted by :   |   Securities Arbitration Claims, Structured Products   |   Comments Off on Chelsea Financial Stockbroker Fails To Pay Arbitration Award

Roger Charles Faubel of Staten Island New York a stockbroker formerly registered with Chelsea Financial Services has been suspended by Financial Industry Regulatory Authority (FINRA) from associating with any FINRA member in any capacity supported by allegations that the stockbroker failed to comply with an arbitration award or settlement agreement or otherwise confirm his compliance […]

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National Securities Discharges Broker For Cause

June 30, 2018  |   Posted by :   |   Bond Fraud, Investment and Regulatory News   |   0 Comments

Roger Charles Faubel of Boardman Ohio a stockbroker formerly employed by National Securities Corporation has been discharged on November 2, 2017 founded on accusations that Faubel disseminated customer account information in violation of the firm’s policy. This is not the first time that Faubel has been terminated for alleged misconduct. Particularly, on October 12, 2007, […]

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