• Robert Rex, Esq.

Kenley Brisard -Former RIdgeway & Conger Broker-Discloses Regulatory Investigation and Termination From Employment
Kenley Brisard -Former RIdgeway & Conger Broker-Discloses Regulatory Investigation and Termination From Employment 150 150 Robert Rex, Esq.

Jericho, New York According to FINRA records,  Kenley Brisard ,   a stockbroker who formerly worked for  Ridgeway & Conger   discloses a pending regulatory matter, a  final customer dispute and 2 terminations from employment and 3 pending judgment/liens.…

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  • Robert Rex, Esq.

Philip Brisard-Former Ridgeway & Conger Broker-Discloses Pending Regulatory Matter and Termination from Employment
Philip Brisard-Former Ridgeway & Conger Broker-Discloses Pending Regulatory Matter and Termination from Employment 150 150 Robert Rex, Esq.

Jericho, New York According to FINRA records,  Philip Brisard ,   a stockbroker who formerly worked for  Ridgeway & Conger   discloses a pending regulatory matter, 4 final customer disputes and a termination from employment. The Financial Industry…

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  • Robert Rex, Esq.

Mark A. Stanczyk-Former Pinnacle Investments Broker-Discloses Customer Dispute
Mark A. Stanczyk-Former Pinnacle Investments Broker-Discloses Customer Dispute 150 150 Robert Rex, Esq.

Manilus, New York According to FINRA records,  Mark A. Stanczyk ,   a stockbroker who currently works for  Leigh Baldwin & Co.   discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that…

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  • Robert Rex, Esq.

Marcus Schrenker-Fraudster Who Faked Death-Featured in Financial Fraud Documentary
Marcus Schrenker-Fraudster Who Faked Death-Featured in Financial Fraud Documentary 150 150 Robert Rex, Esq.

Indianapolis The Times, www.NWI.com reports that Marcus Schrenker, a native of Merrillville who faked his own death in 2009 in an attempt to avoid state and federal  fraud investigations is…

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  • Robert Rex, Esq.

Tonya M. White-Former Edward Jones Broker-Permanently Barred From Securities Industry
Tonya M. White-Former Edward Jones Broker-Permanently Barred From Securities Industry 150 150 Robert Rex, Esq.

Oklahoma City, OK According to FINRA records,  Tonya M. White (aka Tonya M. Nix)  ,   a stockbroker who formerly worked for Edward Jones  discloses a final regulatory matter and a separation from employment after…

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  • 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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