• Robert Rex, Esq.

Cetera Advisors Charged With Defrauding Retail Clients
Cetera Advisors Charged With Defrauding Retail Clients 150 150 Robert Rex, Esq.

September 2019 Cetera Advisors, a registered investment advisor and broker-dealer based in Denver, Colorado, was charged by the Securities and Exchange Commission (SEC) with breaching its fiduciary duty and defrauding…

read more
  • Robert Rex, Esq.

Bill Shopoff-Shopoff Securities- Discloses Pending Regulatory Event & Pending Customer Disputes-Irvine, CA
Bill Shopoff-Shopoff Securities- Discloses Pending Regulatory Event & Pending Customer Disputes-Irvine, CA 150 150 Robert Rex, Esq.

July 2019 – Irvine, CA According to publicly available records William A. Shopoff  (CRD#1273471) ,  a  stockbroker who is currently registered with Shopoff Securities Inc.,  disclose a pending regulatory event  , 2…

read more
  • Robert Rex, Esq.

Praxedes Russi-Former Salomon Whitney Financial Broker- Discloses Customer Dispute and 5 Judgements- Farmington, NY
Praxedes Russi-Former Salomon Whitney Financial Broker- Discloses Customer Dispute and 5 Judgements- Farmington, NY 150 150 Robert Rex, Esq.

October 2019-Farmington, NY The FINRA records of  Praxedes Russi ,  a  financial advisor who currently works for Worden Capital Management and who previously was employed by Salomon Whitney Financial  disclose 2…

read more
  • Robert Rex, Esq.

Michael Stanton-Worden Capital Management Broker- Discloses $15M Pending Customer Dispute- NYC
Michael Stanton-Worden Capital Management Broker- Discloses $15M Pending Customer Dispute- NYC 150 150 Robert Rex, Esq.

July 2019-New York, NY The FINRA records of  Michael Salvatore Stanton,  a  financial advisor employed by  Worden Capital Management disclose 2 regulatory events,  3 prior customer disputes, 1 pending customer dispute, a…

read more
  • Robert Rex, Esq.

Summit Brokerage Services Sanctioned for Churning Accounts-Boca Raton, FL
Summit Brokerage Services Sanctioned for Churning Accounts-Boca Raton, FL 150 150 Robert Rex, Esq.

July 2019-Boca Raton, FL Wealthmangement.com reports that Summit Brokerage Services, an independent broker dealer headquartered in Boca Raton, FL,  will close it doors and roll its business up into an…

read more
  • Robert Rex, Esq.

Texas Securities Regulators Require Metals.Com to Refund $10M
Texas Securities Regulators Require Metals.Com to Refund $10M 150 150 Robert Rex, Esq.

July 2019-Austin, Texas The Texas State Securities Board (TSSB) issued a news release announcing that Metals.Com, has agreed to offer a full refund to some 84 Texas investors. According to…

read more
  • Robert Rex, Esq.

William Neil “Doc” Gallagher Charged with Operating Ponzi Scheme-Dallas, TX
William Neil “Doc” Gallagher Charged with Operating Ponzi Scheme-Dallas, TX 150 150 Robert Rex, Esq.

March 2019-Dallas, TX Neil ‘Doc” Gallagher, who calls himself the “Money Doctor” on Dallas area radio stations was was charged with operating a Ponzi Scheme by the Securities and Exchange…

read more
  • Robert Rex, Esq.

Abed William Lulu-Former Worden Capital Broker- Discloses 6 Regulatory Event & Customer Suits – Melville, NY
Abed William Lulu-Former Worden Capital Broker- Discloses 6 Regulatory Event & Customer Suits – Melville, NY 150 150 Robert Rex, Esq.

June 2019-Melville, NY The FINRA records of  Abed William Lulu ,  a  financial advisor previously employed by  Worden Capital Management disclose 6 regulatory events,  3 prior customer disputes, 4 outstanding judgments. The…

read more
Enter your
text here

You cannot copy content of this page