• Robert Rex, Esq.

Erik Pica-Joseph Stone Capital Broker-Discloses Customer Disputes & FINRA Investigation- New York, NY
Erik Pica-Joseph Stone Capital Broker-Discloses Customer Disputes & FINRA Investigation- New York, NY 150 150 Robert Rex, Esq.

October 2019 – New York, New York The FINRA records of Erik Patrick Pica  , a  stockbroker who is employed by Joseph Stone Capital , disclose 3 pending customer dispute, 4 prior customer disputes and a…

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  • Robert Rex, Esq.

Jack D. Stone-Former Forest Securities Broker-Discloses Customer Disputes & Regulatory Issues-Hillside, IL
Jack D. Stone-Former Forest Securities Broker-Discloses Customer Disputes & Regulatory Issues-Hillside, IL 150 150 Robert Rex, Esq.

September 2019 – Hillside, IL The FINRA records of Jack David Stone  , a former stockbroker who was last employed by  Forest Securities, Inc. , disclose 4 regulatory events, 1 pending customer dispute, 2 prior customer…

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  • Robert Rex, Esq.

Michael Giokas-Former Fortune Financial Services-Broker-Pleads Guilty to Fraud-Williamsville, NY
Michael Giokas-Former Fortune Financial Services-Broker-Pleads Guilty to Fraud-Williamsville, NY 150 150 Robert Rex, Esq.

September 2019- Williamsville, NY According to publicly available records  Michael Giokas (CRD# 1398674) ,  a  former stockbroker who was last  employed by Fortune Financial Services, Inc.,  disclose  2 prior regulatory events, a…

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  • Robert Rex, Esq.

Michael Bressman-Former FCG Advisors Broker- Pleads Guilty to Investment Advisor Fraud-Chatham, NJ
Michael Bressman-Former FCG Advisors Broker- Pleads Guilty to Investment Advisor Fraud-Chatham, NJ 150 150 Robert Rex, Esq.

September 2019- Chatham, NJ According to publicly available records  Michael Bressman ,  a  currently unregistered stockbroker, who was last registered with FCG Advisors,  discloses a pending investigation, a pending civil event,…

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  • Robert Rex, Esq.

Wayne Boucher- Former Corecap Investments Broker- Discloses Settlement of Customer Disputes-Southfield,MI
Wayne Boucher- Former Corecap Investments Broker- Discloses Settlement of Customer Disputes-Southfield,MI 150 150 Robert Rex, Esq.

September 2019 -Southfield, MI According to publicly available records Wayne T. Boucher  (CRD#26819) , a currently unregistered  stockbroker who last worked for  Corecap Investments disclose  32 prior customer disputes. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Jaime R. Rodriguez- Former Cuso Financial Services Broker – Permanently Barred from Industry by FINRA for Stealing from Elderly, Blind Customer- Port Chester, NY
Jaime R. Rodriguez- Former Cuso Financial Services Broker – Permanently Barred from Industry by FINRA for Stealing from Elderly, Blind Customer- Port Chester, NY 150 150 Robert Rex, Esq.

September 2019 – Port Chester, NY The FINRA records of  Jamie R. Rodriguez,  a  former stockbroker who was last employed by Cuso Financial Services disclose he  has been barred from the securities industry…

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  • Robert Rex, Esq.

Stephen Pizzuti – Former Freedom Investors Corp. Broker – Discloses 3 Regulatory Events and Customer Suits – Altamonte Springs, FL
Stephen Pizzuti – Former Freedom Investors Corp. Broker – Discloses 3 Regulatory Events and Customer Suits – Altamonte Springs, FL 150 150 Robert Rex, Esq.

September 2019 – Brookfield, Wi The FINRA records of Stephen Douglas Pizzuti (CRD #1461660)  a  stockbroker who formerly was employed by Freedom Investors Corp. disclose 3 final regulatory events and 8 prior  customer…

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  • Robert Rex, Esq.

Michael Patman Subject of TX Securities Regulators Investigation Over Woodland Resources-Fort Worth, TX
Michael Patman Subject of TX Securities Regulators Investigation Over Woodland Resources-Fort Worth, TX 150 150 Robert Rex, Esq.

September 2019 -Fort Worth, Texas The Texas State Securities Board (TSSB) announced that unregistered investment promoter Jeremy “JB” Yowell is cooperating with the Enforcement Division of the State Securities Board…

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