On November 27, 2023 a
Exhibit,Appendix
was filed
involving a dispute between
Marev Holdings, Inc.,
and
Charles Margolis,
Hlm Capital Llc
A K A Hlm Capital Management Group,
for Commercial Division - Contract
in the District Court of Nassau County.
Preview
FILED: NASSAU COUNTY CLERK 02/05/2024 01:51 PM INDEX NO. 619258/2023
NYSCEF DOC. NO. 12 RECEIVED NYSCEF: 02/05/2024
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FILED: NASSAU COUNTY CLERK 02/05/2024 01:51 PM INDEX NO. 619258/2023
NYSCEF DOC. NO. 12 RECEIVED NYSCEF: 02/05/2024
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FILED: NASSAU COUNTY CLERK 02/05/2024 01:51 PM INDEX NO. 619258/2023
NYSCEF DOC. NO. 12 RECEIVED NYSCEF: 02/05/2024
1 MARGOLIS.
ab
CHARLES
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PURCHASE,
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FILED: NASSAU COUNTY CLERK 02/05/2024 01:51 PM INDEX NO. 619258/2023
NYSCEF DOC. NO. 12 RECEIVED NYSCEF: 02/05/2024
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FILED: NASSAU COUNTY CLERK 02/05/2024 01:51 PM INDEX NO. 619258/2023
NYSCEF DOC. NO. 12 RECEIVED NYSCEF: 02/05/2024
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CHARLES
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FILED: NASSAU COUNTY CLERK 02/05/2024 01:51 PM INDEX NO. 619258/2023
NYSCEF DOC. NO. 12 RECEIVED NYSCEF: 02/05/2024
MARGOLIS.
4 ab
CHARLE
NETWORK,
LLC
05/09/2023 Approved Agent
06/06/2019 Approved Agent
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Date Status Category
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FILED: NASSAU COUNTY CLERK 02/05/2024 01:51 PM INDEX NO. 619258/2023
NYSCEF DOC. NO. 12 RECEIVED NYSCEF: 02/05/2024
MARGOLIS.
5 ab
CHARLE
at be
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to administers
FINRA exams other
or exams ab
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Date Category
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Document Filed Date
February 05, 2024
Case Filing Date
November 27, 2023
Category
Commercial Division - Contract
For full print and download access, please subscribe at https://www.trellis.law/.
Preview
FILED: NASSAU COUNTY CLERK 02/05/2024 01:51 PM INDEX NO. 619258/2023 NYSCEF DOC. NO. 12 RECEIVED NYSCEF: 02/05/2024 imposters. on alert investor our concerns. investing, any with FINRA contact and when with dealing re you' money. websites, youror information personai your stealto trying scam similarand phishingfrom to BrokerChecklink may - 8 7 - 5 2 1 Pace(s) FIDF FILED: NASSAU COUNTY CLERK 02/05/2024 01:51 PM INDEX NO. 619258/2023 NYSCEF DOC. NO. 12 RECEIVED NYSCEF: 02/05/2024 state. yourin adviser investment and brokers you research help can regulator securities st deciding before professional an investment about possible as muchas leamyou that professionals? investment of the background to check use canI alternative, state your or contact directly website IAPDthe searchmay you the In at website (IAPD) Public Disclosure Adviser InvestmentSEC's the in successful, licensing available the viewto link the on provided click is search yourIf representative, or firm the for searchcan you or firm adviser an of investment www.finra.org. 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FINRAthe acceptyou that m operations, history, profile, means site/information this Using theof manyas well as and s a on firm' informationinclu awards. convictions, acti BrokerCheck arbitration and judgments civil criminal history, professional as employment such informationinclude brokers for individual report? them. conduct, conduct, with business to or continue to deciding before fir of the background to check use to BrokerCheck investors encourages stro brokers, former, current, formerand current all and securities registered many and all FILED: NASSAU COUNTY CLERK 02/05/2024 01:51 PM INDEX NO. 619258/2023 NYSCEF DOC. NO. 12 RECEIVED NYSCEF: 02/05/2024 1 MARGOLIS. ab CHARLES - 02/2007 05/2002 PURCHASE, NY 7556 CRD# STANLEY MORGAN - 06/2019 02/2007 LOUIS, ST. MO 19616 CRD# SERVICES, LLC CLEARING FARGO WELLS - 06/2019 02/2007 PARK, IL HIGHLAND 19616 CRD# SERVICES, LLC CLEARING FARGO WELLS firm(s): securities following the with registered was previously broker This History Registration 06/06/2 ExamsLaw Securities 2 " State Exams 3 " Industry/Product General Exam 1 . Principal/Supervisory No this passed: has broker This FINA broker? about disclosed events thereAre proceedings. 06/06/2 civilor judicial criminal filings, terminations, and bankruptcy employment actions, arbitrations, regulatory and complaints U.S. territories and states 35 " customer disclose to are required advice investment provide or securities sell to registered individuals All Organization 1 " Self-Regulatory with: is registered . broker This FINA Events Disclosure QualificationsBroker report. the the in detailed be found can information with conduct. 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U.S. her or his through territories and states 35 in is licensed and SRO 1 with works. brokerthe where branch each of provides, effective. is brokerthe which with firm brokerage everyfor also sectionThis became it whichon date with, U.S. the licensed and registered currently is brokerthe states/territories and (SROs) organizations F Finia Guidance User FILED: NASSAU COUNTY CLERK 02/05/2024 01:51 PM INDEX NO. 619258/2023 NYSCEF DOC. NO. 12 RECEIVED NYSCEF: 02/05/2024 Guidance 3 Finiar User 03/24/2021 06/06/2019 06/06/2019 06/06/2019 06/06/2019 12/15/2020 06/06/2019 06/06/2019 07/23/2020 06/06/2019 06/06/2019 06/06/2019 06/06/2019 06/06/2019 06/06/2019 01/04/2021 06/06/2019 06/06/2019 06/06/2019 06/06/2019 06/06/2019 Date Approved Approved Approved Approved Approved Approved Approved Approved Approved Approved Approved Approved Approved Approved Approved Approved Approved Approved Approved Approved Approved Status Representative Adviser MARGOLIS. Investment Category Agent Agent Agent Agent Agent Agent Agent Agent Agent Agent Agent Agent Agent Agent Agent Agent Agent Agent Agent Agent CHARLES continued about Report Qualifications Territory reserved. 1, of Hampshire www.finra.org/brokercheck Massachusetts Carolina Carolina 1 PennsylvaniaDakota State/ Mississippi JerseyMexico rights Employment Tennessee Maryland Michigan Nebraska Missouri York Nevada Oregon AII North Ohio South South Texas Texas FINRA. U.S. Utah New New New New Broker 42024 FILED: NASSAU COUNTY CLERK 02/05/2024 01:51 PM INDEX NO. 619258/2023 NYSCEF DOC. NO. 12 RECEIVED NYSCEF: 02/05/2024 MARGOLIS. 4 ab CHARLE NETWORK, LLC 05/09/2023 Approved Agent 06/06/2019 Approved Agent 11/19/2020 Approved Agent 06/06/2019 Approved Agent 06/06/2019 Approved Agent Date Status Category R Far Guidance User FILED: NASSAU COUNTY CLERK 02/05/2024 01:51 PM INDEX NO. 619258/2023 NYSCEF DOC. NO. 12 RECEIVED NYSCEF: 02/05/2024 MARGOLIS. 5 ab CHARLE at be found can professionals securities other and brokers to administers FINRA exams other or exams ab 09/26/1995 63 Series Law Examination State 04/12/2002 65 Series Examination Law Date Category 10/05/1995 7 Series Examination 10/01/2018 SIE Examination 11/09/2019 31 Series Exam Date Category Exam 02/03/2020 24 Series Examinat Date Category exams. exams, exam, law state securities 2 and industry/product general 3 p experience. has brokerthe that waivers exam Any work qualifyingand/or has passed b