• Robert Rex, Esq.

Mario Gogliormella Investigation-Legend Securities Broker
Mario Gogliormella Investigation-Legend Securities Broker 150 150 Robert Rex, Esq.

FINRA records report that Mario Gogliormella , who has been registered with Legend Securities since 12/2010 , is currently named in three pending customer disputes: FINRA Case 15-3487 alleging unsuitability and breach…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Rich Coleman formerly with Richard James & Associates
Rex Securities Law Investment Fraud Attorney Investigates Rich Coleman formerly with Richard James & Associates 150 150 Robert Rex, Esq.

Last Updated: October 2023 (Melville, NY) Richard J. Coleman Investigation Summary Here’s what you need to know about Melville, NY, stockbroker Richard ‘Rick; Coleman: Name: Mr. Richard James Coleman Current…

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  • Robert Rex, Esq.

John Cangialosi -Worden Capital Management Broker-Discloses Customer Dispute Alleging Churning-New York
John Cangialosi -Worden Capital Management Broker-Discloses Customer Dispute Alleging Churning-New York 150 150 Robert Rex, Esq.

September 2019-New York FINRA records disclose that John S. Cangialosi, who is currently registered with Worden Capital Management, has two prior regulatory events, a currently pending customer dispute, 7 prior customer…

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  • Robert Rex, Esq.

Daren Dorval Investigation-Legend Securities Broker
Daren Dorval Investigation-Legend Securities Broker 150 150 Robert Rex, Esq.

FINRA records report that Daren Dorval, who has been registered with Legend Securities since 9/2009, is named in a 3 currently pending arbitrations: FINRA Case 15-802 filed by a Florida…

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  • Robert Rex, Esq.

Brian K. Decker Investigation-Legend Securities Broker
Brian K. Decker Investigation-Legend Securities Broker 150 150 Robert Rex, Esq.

See this for MAY 2018 UPDATE. Brian Decker barred from securities industry by regulators.  ORIGINAL POST MARCH 2016 FINRA records report that Brian K. Decker, who has been registered with…

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  • Robert Rex, Esq.

Jason Harris Klabal Investigation-Legend Securities Broker
Jason Harris Klabal Investigation-Legend Securities Broker 150 150 Robert Rex, Esq.

FINRA records report that Jason Harris Klabal, who has been registered with Legend Securities since 8/2011, is named in a currently pending arbitration  (FINRA Case 15-484) by a customer who…

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  • Robert Rex, Esq.

Legend Securities Ordered to Pay Customer $61K by FINRA Arbitrators
Legend Securities Ordered to Pay Customer $61K by FINRA Arbitrators 150 150 Robert Rex, Esq.

July 2015 Legend Securities was ordered to pay over $61,000 to the estate of a former client by a Financial Industry Regulatory Authority (FINRA) arbitration panel. FINRA Case 14-1705. Estate…

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  • Robert Rex, Esq.

Losses on GTAT ? Recovery Options For Investors
Losses on GTAT ? Recovery Options For Investors 150 150 Robert Rex, Esq.

If you suffered losses on GT Advanced Technologies (GTAT) purchased from Legend Securities we may able to help you recover damages through FINRA arbitration. GT Advanced Technologies which traded at nearly…

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  • Robert Rex, Esq.

Legend Securities Fined $300,000 by S. Carolina Securities Regulators
Legend Securities Fined $300,000 by S. Carolina Securities Regulators 150 150 Robert Rex, Esq.

March 18, 2016-Columbia, South Carolina Legend Securities was named in Administrative Order File Number 14108 filed  by the Securities Division of the Office of the Attorney General of South Carolina for…

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  • Robert Rex, Esq.

Legend Securities Fined $125,000 Over Penny Stock Sales
Legend Securities Fined $125,000 Over Penny Stock Sales 150 150 Robert Rex, Esq.

February 10, 2016 Legend Securities entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from October 2010 to…

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