• Robert Rex, Esq.

Gerald Cocuzzo-Former Newbridge Securities Broker-Indicted For Securities Fraud
Gerald Cocuzzo-Former Newbridge Securities Broker-Indicted For Securities Fraud 150 150 Robert Rex, Esq.

May 2016-Boca Raton, FL UPDATE NOVEMBER 2016-Gerald Cocuzzo pleads guilty to securities fraud. Link to US Attorneys office press release.  The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and…

read more
  • Robert Rex, Esq.

Florence Simeon Permitted to Resign from Alexander Capital-Suspected of Falsifying Customer Documents
Florence Simeon Permitted to Resign from Alexander Capital-Suspected of Falsifying Customer Documents 150 150 Robert Rex, Esq.

May 2016- New York 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…

read more
  • Robert Rex, Esq.

William Gennity-Former Alexander Capital Stockbroker-Named in Churning Complaint
William Gennity-Former Alexander Capital Stockbroker-Named in Churning Complaint 150 150 Robert Rex, Esq.

MARCH 2019 Update–SEC enters consent judgement vs. William Gennity.  UPDATE August 2016–William Gennity Named in Churning Complaint by Montana Securities Regulator. Follow this link for details. May 2016- NYC The Financial Industry…

read more
  • Robert Rex, Esq.

Laurence M. Torres -Former Alexander Capital/First Standard Financial Stockbroker Accused of High Pressure Sales
Laurence M. Torres -Former Alexander Capital/First Standard Financial Stockbroker Accused of High Pressure Sales 150 150 Robert Rex, Esq.

MAY 2018 UPDATE-LAURENCE TORRES BARRED FROM SECURITIES INDUSTRY-ACCUSED OF HIGH PRESSURE SALES. See this for details. ORIGINAL POST May 2016- Staten Island, NY The Financial Industry Regulatory Authority (FINRA) is the agency…

read more
  • Robert Rex, Esq.

Marc A. Reda-Former PHX Financial Broker-Fined & Suspended-NY
Marc A. Reda-Former PHX Financial Broker-Fined & Suspended-NY 150 150 Robert Rex, Esq.

July 2021  UPDATE -FINRA has filed a complaint alleging that Reda churned accounts and traded customer without authority.  Follow this for update. ORIGINAL POST--May 2016- Garden City, NY The Financial Industry Regulatory…

read more
  • Robert Rex, Esq.

William Risinger of Round Rock Texas Sentenced to 160 Months on Ponzi Scheme
William Risinger of Round Rock Texas Sentenced to 160 Months on Ponzi Scheme 150 150 Robert Rex, Esq.

May 2016-Austin, Texas The US Attorney’s Office for the Western District of Texas reports that William Risinger of Round Rock, Texas, was sentenced to 160 months in federal prison in…

read more
  • Robert Rex, Esq.

Levert Caldwell Named in Customer Arbitration-National Securities Corporation
Levert Caldwell Named in Customer Arbitration-National Securities Corporation 150 150 Robert Rex, Esq.

May 2016- Staten Island 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…

read more
  • Robert Rex, Esq.

Geoffrey Garratt Named In Customer Arbitration-National Securities Corporation
Geoffrey Garratt Named In Customer Arbitration-National Securities Corporation 150 150 Robert Rex, Esq.

May 2016- Staten Island 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…

read more
Enter your
text here

You cannot copy content of this page