• Robert Rex, Esq.

James P. Scullin-Former UBS Broker-Customer Paid $2M to Resolve Unauthorized Trading Claim-Coral Gables, FL
James P. Scullin-Former UBS Broker-Customer Paid $2M to Resolve Unauthorized Trading Claim-Coral Gables, FL 150 150 Robert Rex, Esq.

Coral Gables, Florida According to FINRA records, James P. Scullin ,  a broker who worked for UBS Financial Services from 6/2011-11/2014 discloses that he was discharged by UBS Financial in October 2014. He also…

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  • Robert Rex, Esq.

Investigation of Former Merrill Lynch Broker Forrest Jones & Knight Nguyen Investments -Conroe, TX
Investigation of Former Merrill Lynch Broker Forrest Jones & Knight Nguyen Investments -Conroe, TX 150 150 Robert Rex, Esq.

July 2021- Conroe, TX  We are investigating former Merrill Lynch financial advisor Forrest Andrew Jones & a now defunct investment advisory firm Knight Nguyen Investments. According to publicly available records, Forrest Jones discloses…

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  • Robert Rex, Esq.

Newbridge Securities Fined $499,000 For Failing to Supervise Sale of Structured Products
Newbridge Securities Fined $499,000 For Failing to Supervise Sale of Structured Products 150 150 Robert Rex, Esq.

July 2021-Boca Raton, FL Boca Raton, FL based brokerage firm Newbridge Securities Corp. discloses 29 regulatory events on their publicly available FINRA record. Recent regulatory sanctions include: 9/2019-FINRA sanctioned Newbridge…

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  • ER

Constantinos Maniatis- Former Morgan Stanley Advisor- Discloses A Regulatory Event and Termination- Dallas, TX
Constantinos Maniatis- Former Morgan Stanley Advisor- Discloses A Regulatory Event and Termination- Dallas, TX 150 150 ER

July 2021- Dallas, TX According to publicly available records,  Constantinos G. Maniatis, a financial advisor previously with Morgan Stanley, discloses a regulatory event and a termination from employment. The Financial…

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Michael Dellaporta, Jr.-Former B.B. Graham & Company-Permanently Barred From FINRA-Ft. Lauderdale, FL
Michael Dellaporta, Jr.-Former B.B. Graham & Company-Permanently Barred From FINRA-Ft. Lauderdale, FL 150 150 ER

July 2021- Ft. Lauderdale, FL According to publicly available records Michael Dellaporta, Jr.  (CRD#500214), a  former stockbroker who last worked for B.B. Graham & Company, Inc.,  has been permanently barred…

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  • Robert Rex, Esq.

David Zuber-Former Securities America Broker- Permanently Barred from FINRA- Independence, OH
David Zuber-Former Securities America Broker- Permanently Barred from FINRA- Independence, OH 150 150 Robert Rex, Esq.

July 2021- Independence, OH According to publicly available records David Zuber (CRD#3239595), a  former stockbroker who last worked for Securities America, Inc.,  has been permanently barred from FINRA. The Financial…

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  • Robert Rex, Esq.

How to Recover Your Investment Losses on Northstar Financial (Bermuda)
How to Recover Your Investment Losses on Northstar Financial (Bermuda) 150 150 Robert Rex, Esq.

Northstar Financial (Bermuda) Lawsuit Did you invest in any of the Northstar Financial products ?  Stock Loss Recovery Lawyer If you invested in any of the Northstar Financial products you…

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  • Robert Rex, Esq.

Gregory McCloskey-Former Westpark Capital Broker-Permanently Barred From FINRA- Irvine, CA
Gregory McCloskey-Former Westpark Capital Broker-Permanently Barred From FINRA- Irvine, CA 150 150 Robert Rex, Esq.

July 2021- San Clemente, CA According to publicly available records Gregory McCloskey (CRD#2820510), a  former stockbroker who last worked for Westpark Capital,  has been permanently barred from FINRA. The Financial…

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  • Robert Rex, Esq.

Robert Delaplain- PHX Financial Advisor- Discloses 2 Regulatory Events- Florham Park, NJ
Robert Delaplain- PHX Financial Advisor- Discloses 2 Regulatory Events- Florham Park, NJ 150 150 Robert Rex, Esq.

July 2021- Florham Park, NJ According to publicly available records,  Robert Delaplain a PHX Financial, Inc. financial advisor , discloses 2 regulatory events. The Financial Industry Regulatory Authority (FINRA) is the agency…

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