• Robert Rex, Esq.

G A Repple Broker Frederick Bremer Settles “Church Bond” Case
G A Repple Broker Frederick Bremer Settles “Church Bond” Case 150 150 Robert Rex, Esq.

March 28, 2016-Casselberry, Florida According to FINRA records, financial advisor Frederick P. Bremer, who has been registered with  G.A. Repple & Co. since January 1998 , recently settled a complaint with a customer…

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  • Robert Rex, Esq.

Mark S. Immel-Former G.A. Repple Broker-Discloses 19 Customer Complaints
Mark S. Immel-Former G.A. Repple Broker-Discloses 19 Customer Complaints 150 150 Robert Rex, Esq.

UPDATE October 2016-FINRA records report that Mark S. Immel terminated his registration with G.A. Repple & Co. 5/2016 and as of October 25, 2016, he is not currently registered with…

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  • Robert Rex, Esq.

Thomas M. Hakim-G.A. Repple Broker-Discloses Numerous Outstanding Tax Liens-Macomb, MI
Thomas M. Hakim-G.A. Repple Broker-Discloses Numerous Outstanding Tax Liens-Macomb, MI 150 150 Robert Rex, Esq.

March 28, 2016-Macomb, Michigan According to FINRA records, financial advisor Thomas M. Hakim , who has been registered with  G.A. Repple & Co. since March 2014, currently has 18 outstanding judgments…

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  • Robert Rex, Esq.

Richard S. Sadowski-G A Repple Broker- Discloses Customer Complaints -Hot Springs, Arkansas
Richard S. Sadowski-G A Repple Broker- Discloses Customer Complaints -Hot Springs, Arkansas 150 150 Robert Rex, Esq.

March 28, 2016-Hot Springs, Arkansas According to FINRA records, G.A. Repple broker Richard S. Sadowski has 13 customer disputes reported, including: FINRA Case No 13-3205– A customer alleged that Sadowski,…

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  • Robert Rex, Esq.

Aon D. Miller-Former Benjamin Edwards Broker- Sanctioned by Regulators
Aon D. Miller-Former Benjamin Edwards Broker- Sanctioned by Regulators 150 150 Robert Rex, Esq.

December 18, 2015-Chattanooga, TN A Financial Industry Regulatory Authority (FINRA) hearing panel found that former Benjamin F. Edwards broker Aon D. Miller violated NASD Rule 3040 and FINRA Rule 2010 by…

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  • Robert Rex, Esq.

Christopher Veale Investigation-Numerous Customer Complaint & Regulatory Issues
Christopher Veale Investigation-Numerous Customer Complaint & Regulatory Issues 150 150 Robert Rex, Esq.

FINRA records report that Christopher F. Veale , of New York,  who is not currently registered, is currently  named in a customer dispute: FINRA Case 15-00373-customer alleges breach of fiduciary duty by Veale while…

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  • Robert Rex, Esq.

Mark Cleaton Sentenced to 80 Months-Rockwall, TX
Mark Cleaton Sentenced to 80 Months-Rockwall, TX 150 150 Robert Rex, Esq.

March 9, 2016- Rockwall, Texas The Rowlett Lakeshore Times reports that Mark Lee Cleaton, 34, of Rockwall, was sentenced to 80 months in federal prison and ordered to pay restitution…

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  • Robert Rex, Esq.

Richard Gomez Investigation-Former Legend Securities Broker
Richard Gomez Investigation-Former Legend Securities Broker 150 150 Robert Rex, Esq.

FINRA records report that Richard Gomez , of New York,  who is not currently registered, is currently  named in two customer disputes: FINRA Case 16-0035 filed by a Florida resident against Gomez while he…

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  • Robert Rex, Esq.

Salvatore Pizzimenti Investigation-Legend Securities Broker
Salvatore Pizzimenti Investigation-Legend Securities Broker 150 150 Robert Rex, Esq.

FINRA records report that Salvatore Pizzimenti , who has been registered with Legend Securities since 8/2011 , has been  named in four customer disputes that have been resolved, including: FINRA Case 12-2703 filed while Pizzimenti…

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