• Robert Rex, Esq.

Stanley Niekras-Former Purshe Kaplan Broker-Charged in Regulatory Complaint Alleging Financial Abuse of Elderly
Stanley Niekras-Former Purshe Kaplan Broker-Charged in Regulatory Complaint Alleging Financial Abuse of Elderly 150 150 Robert Rex, Esq.

November 2016-Watertown, New York The FINRA records of  Stanley C. Niekras,  a  stockbroker who was formerly  employed by  Purshe Kaplan Sterling Investments disclose 7 prior customer disputes that have been resolved and a currently pending regulatory…

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  • Robert Rex, Esq.

Gerald Cocuzzo-Former Newbridge Securities Broker-Sentenced to 18 Months for Securities Fraud-Boca Raton,FL
Gerald Cocuzzo-Former Newbridge Securities Broker-Sentenced to 18 Months for Securities Fraud-Boca Raton,FL 150 150 Robert Rex, Esq.

Boca Raton, FL July 2017 UPDATE– Gerald Cocuzzo was sentenced to 18 months in prison after pleading guilty to securities fraud for his participation in the manipulation of Forcefield Energy,…

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  • Robert Rex, Esq.

Anthony Mazzo-Former UBS Financial Broker-Discloses Customer Dispute
Anthony Mazzo-Former UBS Financial Broker-Discloses Customer Dispute 150 150 Robert Rex, Esq.

November 2016-Palm Beach, Florida The FINRA records of  Anthony J. Mazzo,  a  stockbroker who is currently  employed by  BB&T Securities disclose 4 prior customer disputes that have been resolved, a currently pending customer dispute and…

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  • Robert Rex, Esq.

Stanley Fortenberry of San Angelo, TX, Sentenced to 78 Months-San Angelo, TX
Stanley Fortenberry of San Angelo, TX, Sentenced to 78 Months-San Angelo, TX 150 150 Robert Rex, Esq.

UPDATE FEBRUARY 2017-Fortenberry sentenced to 78 months in prison. Follow this link to Department of Justice news release for more details on his sentencing.  November 2016, San Angelo, Texas The…

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  • Robert Rex, Esq.

Jesse Shelmire-Stonegate Capital Markets Broker-Sanctioned by Regulators Over IRS Liens
Jesse Shelmire-Stonegate Capital Markets Broker-Sanctioned by Regulators Over IRS Liens 150 150 Robert Rex, Esq.

November 2016- Dallas, Texas The FINRA records of  Jesse B. Shelmire, IV,  a  stockbroker who is currently  employed by  Stonegate Capital Markets, Inc.  disclose 2 prior regulatory events that are final, a pending investigation and…

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  • Robert Rex, Esq.

Ronald Kudlacek-VSR Financial Services Broker-Discloses Settlement of Customer Dispute Involving Annuity
Ronald Kudlacek-VSR Financial Services Broker-Discloses Settlement of Customer Dispute Involving Annuity 150 150 Robert Rex, Esq.

The FINRA records of  Ronald J. Kudlacek,  a  stockbroker who is currently  employed by  VSR Financial Services & Summit Brokerage Services disclose a prior customer dispute that has been resolved. The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

VSR Financial-Overland Park, KS, Brokerage Firm- Shutting Down Operations
VSR Financial-Overland Park, KS, Brokerage Firm- Shutting Down Operations 150 150 Robert Rex, Esq.

November 3, 2016-Overland Park, KS The Kansas City Star reports that VSR Financial, which has been in business since 1984, it shutting down and moving its brokers and customers to…

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  • Robert Rex, Esq.

Christopher Anthony-Former Rhodes Securities Broker-Discloses Customer Dispute and Discharge from Employment-Arlington, TX
Christopher Anthony-Former Rhodes Securities Broker-Discloses Customer Dispute and Discharge from Employment-Arlington, TX 150 150 Robert Rex, Esq.

Arlington, Texas MAY 2017 UPDATE-In January 2017 a customer of Rhodes Securities filed FINRA Case #16-03753 alleging damages of $2 million for breach of fiduciary duty, negligence and breach of…

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  • Robert Rex, Esq.

Brad Wilson-VSR Financial Broker-Discloses Settlement of Customer Dispute
Brad Wilson-VSR Financial Broker-Discloses Settlement of Customer Dispute 150 150 Robert Rex, Esq.

October 2016-Houston, Texas The FINRA records of  John “Brad” Wilson,  a  stockbroker who is currently  employed by  VSR Financial Services & Summit Brokerage Services disclose a prior customer dispute that has been resolved. The Financial Industry…

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