• Robert Rex, Esq.

Michael A. Castillero-Former Alexander Capital Broker-Discloses Multiple Customer Disputes & Bar From Securities Industry
Michael A. Castillero-Former Alexander Capital Broker-Discloses Multiple Customer Disputes & Bar From Securities Industry 150 150 Robert Rex, Esq.

New York APRIL 2019 UPDATE- Michael A. Castillero left Alexander Capital in 6/2017 and worked for Windsor Street Capital from 6/2017-10/2017. In 2/2019 he was permanently barred from the securities…

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  • Robert Rex, Esq.

Glen Rauch-Former Avenir Financial Broker-Accused of Harassment and Unauthorized Trading
Glen Rauch-Former Avenir Financial Broker-Accused of Harassment and Unauthorized Trading 150 150 Robert Rex, Esq.

UPDATE SEPTEMBER 2016-FINRA named Glen J. Rauch in a complaint alleging that following his termination from registration(see below) he repeatedly sent abusive, obscene, intimidating and threatening messages to a principal of…

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  • Robert Rex, Esq.

Malcolm Segal-Former Aegis Capital Broker-Sentenced to 126 Months on Ponzi Scheme
Malcolm Segal-Former Aegis Capital Broker-Sentenced to 126 Months on Ponzi Scheme 150 150 Robert Rex, Esq.

June 25, 2016-Philadelphia Former Aegis Capital Corp. stock broker Malcolm Segal, of Langhorne, Pennsylvania, and Boynton Beach, FL, was sentenced to 126 months in prison in connection with a Ponzi…

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  • Robert Rex, Esq.

James F. Fosbre IV-Former United Planners Broker-Discloses Customer Dispute, Termination From Employment-Bayville, NJ
James F. Fosbre IV-Former United Planners Broker-Discloses Customer Dispute, Termination From Employment-Bayville, NJ 150 150 Robert Rex, Esq.

January 2020-Bayville, New Jersey According to FINRA records,  James F. Fosbre, IV ,  a stockbroker  who formerly worked for United Planners Financial Services ,  discloses a prior final customer dispute , a termination from employment…

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  • Robert Rex, Esq.

Eric W. Harding-Former Wells Fargo Broker-Discloses Terminations-Scottsdale, AZ
Eric W. Harding-Former Wells Fargo Broker-Discloses Terminations-Scottsdale, AZ 150 150 Robert Rex, Esq.

UPDATE APRIL 2017–United Planners Financial Services of America discloses that Eric W. Harding was discharged 10/2016 for “Failure to follow firm procedures and repay amounts owed to the firm.” ORIGINAL…

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  • Robert Rex, Esq.

Marvin T. Petty-United Planners Broker-Discloses Customer Dispute
Marvin T. Petty-United Planners Broker-Discloses Customer Dispute 150 150 Robert Rex, Esq.

Fort Worth, Texas According to FINRA records,  Marvin T. Petty, Jr. ,  a stockbroker  who works for United Planners Financial Services ,  discloses  a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that…

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  • Robert Rex, Esq.

Bassam A. Salem-Wunderlich Securities Broker-Discloses Pending Customer Dispute
Bassam A. Salem-Wunderlich Securities Broker-Discloses Pending Customer Dispute 150 150 Robert Rex, Esq.

Birmingham, Michigan According to FINRA records,  Bassam A. Salem,  a stockbroker  who currently works for Wunderlich Securities ,  discloses  a pending customer dispute and a prior final customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…

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  • Robert Rex, Esq.

Michael J. Hebner-Former Wunderlich Securities Broker-Discloses Pending Customer Dispute-Flint, MI
Michael J. Hebner-Former Wunderlich Securities Broker-Discloses Pending Customer Dispute-Flint, MI 150 150 Robert Rex, Esq.

Flint, Michigan According to FINRA records,  Michael J. Hebner,  a stockbroker  who currently works for IFS Securities ,  discloses  a pending customer dispute,  four prior final customer disputes and a termination. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Murray B. Roark-Wunderlich Securities Broker-Discloses Pending Customer Dispute Over Energy Investments
Murray B. Roark-Wunderlich Securities Broker-Discloses Pending Customer Dispute Over Energy Investments 150 150 Robert Rex, Esq.

Dallas, Texas According to FINRA records,  Murray B. Roark,  a stockbroker  who works for Wunderlich Securities ,  discloses  a pending customer dispute and  three prior final customer disputes. The Financial Industry Regulatory Authority (FINRA) is the…

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