• Robert Rex, Esq.

Joseph F. Valdini-Former Aegis Capital Broker-Barred From Securities Industry by Regulator & Customer Suits-Melville, NY
Joseph F. Valdini-Former Aegis Capital Broker-Barred From Securities Industry by Regulator & Customer Suits-Melville, NY 150 150 Robert Rex, Esq.

Joseph F. Valdini Investigation March 2022-Melville, New York The FINRA records of Joseph F. Valdini ,  a former stock broker who was last employed in the industry by Aegis Capital Corp. , disclose a regulatory matter,…

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Rex Securities Law Investment Fraud Attorney Investigates Gerald O’Halloran formerly with Kovack Securities
Rex Securities Law Investment Fraud Attorney Investigates Gerald O’Halloran formerly with Kovack Securities 150 150 Robert Rex, Esq.

Last Updated: November 2023 (Punta Gorda, FL) Gerald O’Halloran Investigation Summary Here’s what you need to know about Punta Gorda, FL, stockbroker Gerald O’Halloran: Name: Mr. Gerald James O’Halloran Current…

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Dawn Marie Collum- Ameriprise Broker- Discloses Customer Dispute -Kerrville, TX
Dawn Marie Collum- Ameriprise Broker- Discloses Customer Dispute -Kerrville, TX 150 150 Robert Rex, Esq.

Dawn M. Collum Investigation February 2022- Kerrville, Texas According to publicly available records,  Dawn M. Collum , a broker with Ameriprise Financial in Kerrville, Texas,  discloses a  customer complaint. The Financial Industry…

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  • Robert Rex, Esq.

Yousuf Saljooki-Former SW Financial Broker- Named In $750K Customer Complaint Alleging High Pressure Sales Techniques-Melville, NY
Yousuf Saljooki-Former SW Financial Broker- Named In $750K Customer Complaint Alleging High Pressure Sales Techniques-Melville, NY 150 150 Robert Rex, Esq.

Yousuf Saljooki Investigation February 2022-Melville, NY The FINRA records of Yousuf Saljooki, a broker who formerly worked for SW Financial (Salomon Whitney Financial) and Worden Capital Management,  disclose 7  final regulatory…

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Nicholas Palumbo-Former Park Avenue Securities Broker-Barred From Securities Industry-Armonk, NY
Nicholas Palumbo-Former Park Avenue Securities Broker-Barred From Securities Industry-Armonk, NY 150 150 ER

Nicholas Palumbo Investigation December 2021- Armonk, NY According to publicly available records Nicholas R. Palumbo,  a  former stockbroker who last worked for Park Avenue Securities discloses that he has been sued by…

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Michael “Mike” Conte- Former Fusion Analytics Securities Broker- Permanently Barred from FINRA- Coral Springs, FL
Michael “Mike” Conte- Former Fusion Analytics Securities Broker- Permanently Barred from FINRA- Coral Springs, FL 150 150 ER

Michael “Mike” Conte Investigation December 2021- Coral Springs, FL  According to publicly available records,  Michael “Mike” James Conte a broker previously employed with Fusion Analytics Securities discloses a prior regulatory event,…

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William (Billy) Busch-Former Morgan Stanley Broker-Settles Customer Suit Over Unsuitable Investments-Austin,TX
William (Billy) Busch-Former Morgan Stanley Broker-Settles Customer Suit Over Unsuitable Investments-Austin,TX 150 150 Robert Rex, Esq.

William (Billy) Busch Investigation December 2021 – Austin, TX According to publicly available records  William (Billy) D. Busch , a stockbroker who was previously registered with Morgan Stanley & Co. discloses  the…

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Jesus Rodriguez- Morgan Stanley Broker- Barred from Industry by Securities Regulator-El Paso, TX
Jesus Rodriguez- Morgan Stanley Broker- Barred from Industry by Securities Regulator-El Paso, TX 150 150 Robert Rex, Esq.

Jesus Rodriguez Investigation December 2021- El Paso, TX According to publicly available records,  Jesus Rodriguez, a former broker who last worked for Morgan Stanley discloses 5 recent customer complaints alleging  misappropriation of…

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John Rochester- Morgan Stanley Broker- Subject of $600K Customer Suit-Santa Fe, NM
John Rochester- Morgan Stanley Broker- Subject of $600K Customer Suit-Santa Fe, NM 150 150 Robert Rex, Esq.

John Rochester Investigation November 2021- Santa Fe, NM According to publicly available records,  John A. Rochester, a broker with Morgan Stanley discloses a recently filed customer arbitration seeking damages of $600,000. The…

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Lance R. Armstrong- Former Raymond James Broker- Discloses Regulatory Events Resulting in Bar from Industry and Termination of Employment- Columbia, NJ
Lance R. Armstrong- Former Raymond James Broker- Discloses Regulatory Events Resulting in Bar from Industry and Termination of Employment- Columbia, NJ 150 150 Robert Rex, Esq.

Lance R. Armstrong Investigation December 2021 – Lafayette, NJ The FINRA records of Lance Roman Armstrong  , a former stockbroker who was last employed by Raymond James Financial Services, Inc. , disclose   regulatory events…

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