• Robert Rex, Esq.

James Parrelly-Former Investment Planners Broker- Discloses 3 Regulatory Events, 7 Final Customer Disputes, 1 Pending Customer Dispute and a Termination-Dearborn, MI
James Parrelly-Former Investment Planners Broker- Discloses 3 Regulatory Events, 7 Final Customer Disputes, 1 Pending Customer Dispute and a Termination-Dearborn, MI 150 150 Robert Rex, Esq.

July 2021- Dearborn, MI According to publicly available records James Parrelly (CRD#728368), an unregistered broker who last worked for Investment Planners, Inc.,  discloses 3 regulatory events,  7 final customer disputes,…

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  • Robert Rex, Esq.

Donald Stephen Woods-Former LPL Financial Broker-Discloses a Regulatory Event, 11 Settled Customer Disputes and 1 Pending Customer Disputes-Louisville, KY
Donald Stephen Woods-Former LPL Financial Broker-Discloses a Regulatory Event, 11 Settled Customer Disputes and 1 Pending Customer Disputes-Louisville, KY 150 150 Robert Rex, Esq.

July  2021– Louisville, KY The FINRA records of Donald Stephen Woods,  a former stockbroker  who was last employed  by  Thurston Springer Financial , disclose  a final regulatory event, 11 settled customer disputes and…

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  • Robert Rex, Esq.

Maria Calcena-Former Ocean Financial Services Broker- Discloses $245K Pending Customer Dispute-Miami, FL
Maria Calcena-Former Ocean Financial Services Broker- Discloses $245K Pending Customer Dispute-Miami, FL 150 150 Robert Rex, Esq.

July 2021- Palm Beach, FL According to publicly available records,  Maria Calcena, a broker with Infinex Investments, discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…

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  • Robert Rex, Esq.

Michael Androulakis – Alexander Capital Broker- Discloses 2 Regulatory Events and 4 Customer Disputes- NYC
Michael Androulakis – Alexander Capital Broker- Discloses 2 Regulatory Events and 4 Customer Disputes- NYC 150 150 Robert Rex, Esq.

July 2021- NYC According to his FINRA record  Michael Androulakis, a financial advisor employed by Alexander Capital  discloses 2 regulatory events and 4 customer disputes. The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Richard Demetriou -Titan Securities Broker-Permanently Barred from FINRA- Addison, TX
Richard Demetriou -Titan Securities Broker-Permanently Barred from FINRA- Addison, TX 150 150 Robert Rex, Esq.

Richard Demetriou Investigation Former Titan Securities Financial Advisor June 2021 – Addison, TX According to publicly available records, former Titan Securities,  financial advisor Richard Demetriou,  has been barred from the securities…

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  • Robert Rex, Esq.

Darrin Cohen-Triad Advisors Broker-Discloses $600K in Pending Customer Disputes- Alpharetta, GA
Darrin Cohen-Triad Advisors Broker-Discloses $600K in Pending Customer Disputes- Alpharetta, GA 150 150 Robert Rex, Esq.

June 2021- Alpharetta, GA According to publicly available records,   Triad Advisors, Inc. financial advisor Darrin Cohen,  discloses 2 pending customer disputes. The Financial Industry Regulatory Authority (FINRA) is the agency that…

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  • Robert Rex, Esq.

Adam Goodman-Stoever Glass & Co. Broker-Sued for $500K-Boca Raton, FL
Adam Goodman-Stoever Glass & Co. Broker-Sued for $500K-Boca Raton, FL 150 150 Robert Rex, Esq.

April 2021- Boca Raton, FL The FINRA records of  Adam C. Goodman ,  a  registered stock broker who recently left Herbert J. Sims to join Stoever, Glass & Co. ,  disclose  2 pending customer…

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  • Robert Rex, Esq.

John Loughran-UBS Financial Broker-Discloses $500K Pending Customer Dispute-NYC
John Loughran-UBS Financial Broker-Discloses $500K Pending Customer Dispute-NYC 150 150 Robert Rex, Esq.

April 2021- New York, NY According to publicly available records,   UBS Financial Services financial advisor John Loughran,  discloses a pending customer dispute and a prior settled customer dispute. The Financial Industry…

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  • Robert Rex, Esq.

David Fenning-Morgan Stanley Broker-Discloses Settled 4 Customer Disputes and 1 Pending Customer Dispute-NY, NY
David Fenning-Morgan Stanley Broker-Discloses Settled 4 Customer Disputes and 1 Pending Customer Dispute-NY, NY 150 150 Robert Rex, Esq.

April 2021- New York, NY According to publicly available records David W. Fenning (CRD#1005307), a stockbroker who works for Morgan Stanley Smith Barney  discloses 4 settled customer disputes and 1…

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  • Robert Rex, Esq.

Forouzan Pooladi-Former JP Morgan Broker-Barred from FINRA-Great Neck, NY
Forouzan Pooladi-Former JP Morgan Broker-Barred from FINRA-Great Neck, NY 150 150 Robert Rex, Esq.

April 2021-Great Neck, NY According to publicly available records, former JP Morgan Securities,  financial advisor Forouzan Pooladi,  has been barred from the securities industry. The Financial Industry Regulatory Authority (FINRA) is the…

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