Nex Systems
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Albert Raymond Laubenstein

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    04/05/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. GLENDALE SECURITIES, INC. (CRD No. 123649), GEORGE ALBERTO CASTILLO (CRD No. 1936486), PAUL ERIC FLESCHE (CRD No. 3277904), ALBERT RAYMOND LAUBENSTEIN (CRD No. 303462), JOSE MIGUEL ABADIN (CRD No. 1273345), and HUANWEI HUANG (CRD No. 3268328), Respondents. Disciplinary Proceeding No. 2016049565901 Hearing Officer—MJD EXTENDED HEARING PANEL DECISION April 5, 2019 Respondents

    10/05/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Glendale Securities, Inc. (CRD No. 123649), George Alberto Casetillo (CRD No. 1936486), Paul Eric Flesche (CRD No. 3277904), Albert Raymond Laubenstein (CRD No. 303462), Jose Miguel Abadin (CRD No. 1273345), and Huanwei Huang (CRD No. 3268328), Respondents. COMPLAINT

    10/06/2021: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Glendale Securities, Inc. Sherman Oaks, CA, George Alberto Castillo Sherman Oaks, CA, Paul Eric Flesche Sherman Oaks, CA Albert Raymond Laubenstein Anaheim, CA, Jose Miguel Abadin Sherman Oaks, CA, And Huanwei Huang New York, NY, Respondents DECISION Complaint No. 2016049565901 Dated: October 6, 2021 Member firm and the AMLCO failed to maintain a reasonable AML program

    Reference 2016049565901data-portal.finra.orgdata-portal.finra.orgfinra.orgdata-portal.finra.org

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