RANDALL JAY KATZENSTEIN is currently employed as a Broker and/or Investment Adviser at OBEX SECURITIES LLC located at 290 Overlook Road, New Rochelle, NY, 10804.
RANDALL JAY KATZENSTEIN has worked at OBEX SECURITIES LLC since September 03, 2002
Disclosure History
RANDALL JAY KATZENSTEIN has 2 Disclosure Event(s).
Date: January 01, 1986 Category: Customer Dispute Allegations: THE CLIENT CLAIMED THAT THE ACCOUNT HAD BEEN POORLY HANDLED AND THAT CERTAIN TRADES IN THE ACCOUNT HAD BEEN ENTERED WITHOUT PRIOR AUTHORIZATION. Damage Amount Requested: $45,000.00 Settlement Amount: $30,000.00 Broker Comment: THE MATTER WAS SETTLED FOR $30,000 AND WAS PAID ENTIRELY BY KATZENSTEIN. NOTE: ITEMS 15,16,18,19 ARE ANSWERED BUT THIS WAS NOT AN ARBITRATION MATTER.
Date: December 01, 1984 Category: Customer Dispute Allegations: IMPROPER TRADING Damage Amount Requested: $50,000.00 Settlement Amount: $25,000.00 Broker Comment: THE CLIENT AGREED TO A SETTLEMENT OF $25,000, WHICH WAS PAID BY KATZENSTEIN. THIS COMPLAINT DID NOT INVOLVE UNAUTHORIZED DISCRETION OR CHURNING OF THE ACCOUNT. NOTE: ITEMS 15,16,18,19 ARE ANSWERED BUT THIS WAS NOT AN ARBITRATION MATTER.
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