• Robert Rex, Esq.

Jean Walsh-Josephson -Former Thrivent Investment Management Broker & Husband Die In Murder-Suicide
Jean Walsh-Josephson -Former Thrivent Investment Management Broker & Husband Die In Murder-Suicide 150 150 Robert Rex, Esq.

February 2017-Oshkosh, Wisconsin According to US News, the sheriff of Winnebago County reports that former Thrivent Investment Management stock broker Jean A. Walsh-Josephson and her husband, Dewey Josephson,  were found…

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  • Robert Rex, Esq.

Dennis Van Patter-Former VSR Financial Services Broker-Discloses Pending Customer Disputes-Plano, TX
Dennis Van Patter-Former VSR Financial Services Broker-Discloses Pending Customer Disputes-Plano, TX 150 150 Robert Rex, Esq.

February  2017-Plano, Texas According to public records former VSR Financial Services broker Dennis Van Patter discloses a prior final regulatory event, 7 prior customer disputes that are final and 3 pending customer…

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  • Robert Rex, Esq.

Mickey Long-Former VSR Financial Services Broker-Discloses Pending Customer Disputes-Plano, TX
Mickey Long-Former VSR Financial Services Broker-Discloses Pending Customer Disputes-Plano, TX 150 150 Robert Rex, Esq.

February  2017-Plano, Texas According to public records former VSR Financial Services broker M. F. (Mickey) Long discloses a prior final regulatory event, 10 prior customer disputes that are final and…

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  • Robert Rex, Esq.

Paul M. Alexander Jr.-Former Raymond James Broker-Discloses Customer Disputes-Palm Beach Gardens
Paul M. Alexander Jr.-Former Raymond James Broker-Discloses Customer Disputes-Palm Beach Gardens 150 150 Robert Rex, Esq.

February 2017-Palm Beach Gardens, FL According to publicly available records Paul M. Alexander, Jr.  , (CRD# 4285605) ,  a  currently unregistered stockbroker who last was employed by Raymond James & Associates, discloses a…

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  • Robert Rex, Esq.

Peter Martorana, Former Toms River, NJ, Financial Advisor, Pleads Guilty
Peter Martorana, Former Toms River, NJ, Financial Advisor, Pleads Guilty 150 150 Robert Rex, Esq.

February 2017-Toms River, NJ New Jersey 101.5 reports that Wall Township financial advisor Peter Martorana, 62, who worked for Retirement Benefit Specialists, pleaded guilty to accepting checks from elderly clients in…

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  • Robert Rex, Esq.

Mark Varacchi and Sentinel Growth Fund Management Accused of Theft by Regulators
Mark Varacchi and Sentinel Growth Fund Management Accused of Theft by Regulators 150 150 Robert Rex, Esq.

February 2017- Washington The Securities and Exchange Commission (SEC) charged Sentinel Growth Fund Management and its founder Mark J. Varacchi with stealing money from investors to settle a private lawsuit,…

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  • Robert Rex, Esq.

Securities Regulators Fine 12 Firms over $14 million for Failing to Protect Records
Securities Regulators Fine 12 Firms over $14 million for Failing to Protect Records 150 150 Robert Rex, Esq.

December 2016- Washington In a News Release, the Financial Industry Regulatory Authority (FINRA) announced that the following firms were fined a total of $14.4 million for deficiencies relating to the…

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  • Robert Rex, Esq.

Alejandro Falla-Former Ultralat Capital Markets Broker-Sanctioned by Securities Regulator-Coral Gables, FL
Alejandro Falla-Former Ultralat Capital Markets Broker-Sanctioned by Securities Regulator-Coral Gables, FL 150 150 Robert Rex, Esq.

February 2017-Coral Gables, FL According to publicly available records Alejandro Falla , (CRD# 5064828) ,  a  former stockbroker who was last employed by  BAC Florida Investments,  disclose  a recent regulatory sanction. The Financial Industry Regulatory Authority (FINRA) is…

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  • Robert Rex, Esq.

Nicolaas P. Pronk-Noble Capital Named in Complaint Over Sale of AdCare Health Systems Stock-Boca Raton, FL
Nicolaas P. Pronk-Noble Capital Named in Complaint Over Sale of AdCare Health Systems Stock-Boca Raton, FL 150 150 Robert Rex, Esq.

November 2016-Boca Raton, FL According to publicly available records Nicolaas P. Pronk , (CRD# 1726101) ,  a  stockbroker who is employed by  Noble Capital Markets,  disclose  a pending regulatory matter. The Financial Industry Regulatory Authority (FINRA) is the agency…

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  • Robert Rex, Esq.

Mark R. Holcombe-Former Source Capital Broker-Sanctioned by Securities Regulator-Pompano Beach, FL
Mark R. Holcombe-Former Source Capital Broker-Sanctioned by Securities Regulator-Pompano Beach, FL 150 150 Robert Rex, Esq.

December 2016-Pompano Beach, FL According to publicly available records Mark R. Holcombe , (CRD# 2901441) ,  a  stockbroker who is currently under suspension who was last employed by  Source Capital Group,  disclose  a recent regulatory…

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