• Robert Rex, Esq.

Morgan Stanley Ordered By FINRA Panel to Pay $8.6 Million to Customer
Morgan Stanley Ordered By FINRA Panel to Pay $8.6 Million to Customer 150 150 Robert Rex, Esq.

Los Angeles, CA In an arbitration conducted by the Financial Industry Regulatory Authority (FINRA) Morgan Stanley was ordered to pay a retiree over $8.6 million in damages for unauthorized trading…

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  • Robert Rex, Esq.

PHX Financial-Discloses Settlement of Customer Dispute
PHX Financial-Discloses Settlement of Customer Dispute 150 150 Robert Rex, Esq.

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well…

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  • Robert Rex, Esq.

Felix A. Bartolomei-Cuso Financial Services Broker-Discloses Pending Customer Disputes
Felix A. Bartolomei-Cuso Financial Services Broker-Discloses Pending Customer Disputes 150 150 Robert Rex, Esq.

Orlando, Florida According to FINRA records,  Felix Alberto Bartolomei ,   a stockbroker  employed by Cuso Financial Services , discloses  3 pending customer disputes and 2 final customer disputes. The Financial Industry Regulatory Authority (FINRA) is the agency…

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  • Robert Rex, Esq.

Douglas C. Robb-Former Cuso Financial Services Broker-Discloses Termination From Employment
Douglas C. Robb-Former Cuso Financial Services Broker-Discloses Termination From Employment 150 150 Robert Rex, Esq.

Port Chester, New York According to FINRA records,  Douglas C. Robb, Jr. ,   a stockbroker who was recently employed by Cuso Financial Services , discloses  a termination. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and…

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  • Robert Rex, Esq.

Rex Securities Law Investigating Minerva-Rockdale E&P IV
Rex Securities Law Investigating Minerva-Rockdale E&P IV 150 150 Robert Rex, Esq.

We are evaluating potential investor cases for persons who may have suffered losses on Minerva-Rockdale E&P IV. The Minerva-Rockdale E&P IV, LLC,  private placement offering in March 2013, authorized the issuer Euro…

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  • Robert Rex, Esq.

Minerva-Rockdale E&P III-How to Recover Investment Losses
Minerva-Rockdale E&P III-How to Recover Investment Losses 150 150 Robert Rex, Esq.

Investors who have losses as a result of investing in Minerva-Rockdale E&P III may be able to recover some or all of their  losses through arbitration. On May 16, 2016,…

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  • Robert Rex, Esq.

Francesco A. Scarso-First Standard Financial Broker-Discloses Pending Customer Dispute-NY
Francesco A. Scarso-First Standard Financial Broker-Discloses Pending Customer Dispute-NY 150 150 Robert Rex, Esq.

New York MAY 2017 UPDATE–Francesco Scarso was permanently barred from the securities industry in 2/2017 for failing to respond to a request for information in connection with an investigation.  …

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  • Robert Rex, Esq.

Lucas Lichtman-Former Caldwell International Securities Broker-Sued by Securities Regulator
Lucas Lichtman-Former Caldwell International Securities Broker-Sued by Securities Regulator 150 150 Robert Rex, Esq.

Englewood Cliffs, New Jersey According to FINRA records,  Lucas D. Lichtman,   a stockbroker who was formerly employed by Caldwell International Securities, discloses  a pending regulatory investigation . The Financial Industry Regulatory Authority (FINRA) is the agency…

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  • Robert Rex, Esq.

Richard Lim-Former Caldwell International Securities Broker-Named in Regulatory Complaint-Englewood Cliffs, NJ
Richard Lim-Former Caldwell International Securities Broker-Named in Regulatory Complaint-Englewood Cliffs, NJ 150 150 Robert Rex, Esq.

Englewood Cliffs, New Jersey According to FINRA records,  Richard Lim,   a stockbroker who was formerly employed by Caldwell International Securities, discloses  a pending regulatory investigation and 3 presently outstanding judgement/liens . The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Paul Jacobs-Former Caldwell Securities Broker-Discloses Regulatory Action-Austin, TX
Paul Jacobs-Former Caldwell Securities Broker-Discloses Regulatory Action-Austin, TX 150 150 Robert Rex, Esq.

October 2017-Austin, Texas According to FINRA records,  Paul Jacobs,   a stockbroker who is currently  employed by Cape Securities, discloses  a prior regulatory sanction . The Financial Industry Regulatory Authority (FINRA) is the agency that licenses…

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