Robert Rex, Esq., Author at Rex Securities Law

Robert Rex, Esq.
July 10, 2016

Barry W. Lemay-Former VSR Financial Broker-Discloses Customer Dispute Over Alternative Investments

Barry W. Lemay-Former VSR Financial Broker-Discloses Customer Dispute Over Alternative Investments https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g July 10, 2016 October 4, 2023

Campbell, CA According to FINRA records, Barry W. Lemay , a stockbroker who formerly worked for VSR Financial Services discloses 9 final customer disputes and one pending customer dispute. The Financial Industry Regulatory Authority…

Robert Rex, Esq.
July 10, 2016

David K. Rubenstein-Former Ameriprise Broker-Discloses Terminations from Employment

David K. Rubenstein-Former Ameriprise Broker-Discloses Terminations from Employment https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g July 10, 2016 July 10, 2016

July 2016- Troy, Michigan The FINRA records of David K. Rubenstein , a stock broker currently employed by L.M. Kohn & Company, disclose a prior final customer dispute, a prior final financial disclosure and 2 prior…

Robert Rex, Esq.
July 10, 2016

Matthew T. Flynn-L.M. Kohn Broker-Discloses Customer Dispute Over REIT Investment

Matthew T. Flynn-L.M. Kohn Broker-Discloses Customer Dispute Over REIT Investment https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g July 10, 2016 July 10, 2016

July 2016- Troy, Michigan The FINRA records of Matthew T. Flynn , a stock broker employed by L.M. Kohn & Company, disclose a pending customer arbitration, a prior final financial disclosure and a prior termination. The…

Robert Rex, Esq.
July 9, 2016

Douglas C. Osborn-L.M. Kohn Stock Broker Discloses Customer Dispute

Douglas C. Osborn-L.M. Kohn Stock Broker Discloses Customer Dispute https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g July 9, 2016 July 9, 2016

July 2016- Troy, Michigan The FINRA records of Douglas C. Osborn , a stock broker employed by L.M. Kohn & Company, disclose a pending customer arbitration. The Financial Industry Regulatory Authority (FINRA) is the agency that…

Robert Rex, Esq.
July 9, 2016

Primex Broker Daniel L. Silverstein Discloses Customer Dispute Alleging Churning-Miami, FL

Primex Broker Daniel L. Silverstein Discloses Customer Dispute Alleging Churning-Miami, FL https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g July 9, 2016 July 9, 2016

APRIL 2017 UPDATE–Daniel L. Silverstein , a broker with Primex in Miami, FL, discloses that in currently pending FINRA Case 16-02252 a customer of Primex alleges damages of $431,000 for…

Robert Rex, Esq.
July 9, 2016

Primex Broker Jeffrey S. Cederberg Discloses Sanction -San Luis Obispo, CA

Primex Broker Jeffrey S. Cederberg Discloses Sanction -San Luis Obispo, CA https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g July 9, 2016 July 9, 2016

San Luis Obispo, CA UPDATE JULY 2017-In April 2017, Jeffrey Cederberg was fined $5,000 and suspended for four months by FINRA to resolve allegations that he failed to timely amend…

Robert Rex, Esq.
July 8, 2016

Garden State Securities Order to Pay Damages for Investment Losses

Garden State Securities Order to Pay Damages for Investment Losses https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g July 8, 2016 July 8, 2016

July 5, 2016-New York A Financial Industry Regulatory Authority (FINRA) arbitration panel ordered Garden State Securities, based in Red Bank, New Jersey, to pay an elderly customer over $142,000 to…

Robert Rex, Esq.
July 7, 2016

Leigh M. Garber-Former Ridgeway & Conger Broker-Discloses Regulatory Investigation Over Excessive Markups

Leigh M. Garber-Former Ridgeway & Conger Broker-Discloses Regulatory Investigation Over Excessive Markups https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g July 7, 2016 April 21, 2026

July 2016 – New Woodstock, New York According to FINRA records, Leigh M. Garber , a stockbroker who formerly worked for Ridgeway & Conger discloses a pending regulatory matter and a prior final regulatory matter. The…

Robert Rex, Esq.
July 7, 2016

Kenley Brisard -Former RIdgeway & Conger Broker-Discloses Regulatory Investigation and Termination From Employment

Kenley Brisard -Former RIdgeway & Conger Broker-Discloses Regulatory Investigation and Termination From Employment https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g July 7, 2016 July 7, 2016

Jericho, New York According to FINRA records, Kenley Brisard , a stockbroker who formerly worked for Ridgeway & Conger discloses a pending regulatory matter, a final customer dispute and 2 terminations from employment and 3 pending judgment/liens.…

Robert Rex, Esq.
July 7, 2016

Philip Brisard-Former Ridgeway & Conger Broker-Discloses Pending Regulatory Matter and Termination from Employment

Philip Brisard-Former Ridgeway & Conger Broker-Discloses Pending Regulatory Matter and Termination from Employment https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g July 7, 2016 July 7, 2016

Jericho, New York According to FINRA records, Philip Brisard , a stockbroker who formerly worked for Ridgeway & Conger discloses a pending regulatory matter, 4 final customer disputes and a termination from employment. The Financial Industry…

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