• Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Arthur McQuaide formerly with Spartan Capital Securities
Rex Securities Law Investment Fraud Attorney Investigates Arthur McQuaide formerly with Spartan Capital Securities 150 150 Robert Rex, Esq.

Last Updated: January 2024 (Garden City, NY) Arthur McQuaide Investigation Summary Here’s what you need to know about Garden City, NY, stockbroker Arthur McQuaide: Name: Mr. Arthur Bruce McQuaide Current…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Rob Silvestri formerly with Aegis Capital Corp.
Rex Securities Law Investment Fraud Attorney Investigates Rob Silvestri formerly with Aegis Capital Corp. 150 150 Robert Rex, Esq.

Last Updated: January 2024 (Dallas, TX) Rob Silvestri Investigation Summary Here’s what you need to know about Dallas, TX, stockbroker Rob Silvestri: Name: Mr. Robert Allen Silvestri Current Employer: FINRA…

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  • Robert Rex, Esq.

William Gordon-Kovack Securities Broker-Discloses12 Customer Suits-Clearwater, FL
William Gordon-Kovack Securities Broker-Discloses12 Customer Suits-Clearwater, FL 150 150 Robert Rex, Esq.

January 2024 – Clearwater, FL According to publicly available records  William B. Gordon  (CRD# 2127800) ,  a   registered stockbroker currently employed by Kovack Securities  disclose a prior regulatory event and 12 prior…

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  • ER

Ivan Shore-Oppenheimer & Co. Broker-Discloses Regulatory Event & Suspension-New York, NY
Ivan Shore-Oppenheimer & Co. Broker-Discloses Regulatory Event & Suspension-New York, NY 150 150 ER

Ivan Shore Investigation January 2024- New York, NY According to his FINRA record  Ivan Shore , a broker employed by Oppenheimer & Co. discloses a final regulatory investigation event and…

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  • Robert Rex, Esq.

Moody Securities Sanctioned by FINRA Over REIT Sales-Houston, TX
Moody Securities Sanctioned by FINRA Over REIT Sales-Houston, TX 150 150 Robert Rex, Esq.

January 2024, Houston, Texas  Moody Securities, LLC,  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that it violated FINRA rules  governing…

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John Kevin Egan- Former Western International Securities Broker-Discloses 4 Customer Disputes Seeking More Than $500,000-Glendora, CA
John Kevin Egan- Former Western International Securities Broker-Discloses 4 Customer Disputes Seeking More Than $500,000-Glendora, CA 150 150 ER

John Egan Investigation January 2024– Glendora, CA According to publicly available records John Kevin Egan  an unregistered broker previously employed by Western International Securities,  discloses 4 pending customer disputes and 3…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Jerry Respasz formerly with Ausdal Financial Partners
Rex Securities Law Investment Fraud Attorney Investigates Jerry Respasz formerly with Ausdal Financial Partners 150 150 Robert Rex, Esq.

Last Updated: January 2024 (Peoria, IL) Jerry Respasz Investigation Summary Here’s what you need to know about Peoria, IL, stockbroker Jerry Respasz: Name: Mr. Gerald Lee Respasz Current Employer: Not…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Ausdal Financial Partners Broker Chris Neston
Rex Securities Law Investment Fraud Attorney Investigates Ausdal Financial Partners Broker Chris Neston 150 150 Robert Rex, Esq.

Last Updated: January 2024 (North Oaks, MN) Chris Neston Investigation Summary Here’s what you need to know about North Oaks, MN, stockbroker Christopher Neston: Name: Mr. Christopher William Neston Current…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Ausdal Financial Partners Broker Donald Kiley
Rex Securities Law Investment Fraud Attorney Investigates Ausdal Financial Partners Broker Donald Kiley 150 150 Robert Rex, Esq.

Last Updated: January 2024 (De Pere, WI) Donald Kiley Investigation Summary Here’s what you need to know about De Pere, WI, stockbroker Donald Kiley: Name: Mr. Donald Walter Kiley Current…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Ron Bucher formerly with Pinnacle Investments
Rex Securities Law Investment Fraud Attorney Investigates Ron Bucher formerly with Pinnacle Investments 150 150 Robert Rex, Esq.

Last Updated: January 2024 (Fort Myers, FL ) Ron Bucher Investigation Summary Here’s what you need to know about Fort Myers, FL, former stockbroker Ron Bucher: Name: Mr. Ronald Luther…

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