• Robert Rex, Esq.

Ernest Romer III-Former CoreCap Investments Broker-Alleged to Have Stolen Funds from Securities Customers-Sterling Heights, MI
Ernest Romer III-Former CoreCap Investments Broker-Alleged to Have Stolen Funds from Securities Customers-Sterling Heights, MI 150 150 Robert Rex, Esq.

APRIL 2018 UPDATE–The FINRA record of Ernest Romer III now discloses 15 pending customer disputes and 5 prior final customer disputes and 2 pending investigations. The investigations by Michigan Department…

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  • Robert Rex, Esq.

Steven E. Blanke-Capital Financial Services Broker-Discloses Customer Disputes-Garland, TX
Steven E. Blanke-Capital Financial Services Broker-Discloses Customer Disputes-Garland, TX 150 150 Robert Rex, Esq.

May 2017-Garland, TX The FINRA records of  Steven Earle Blanke ,  a  stockbroker who is currently registered with Capital Financial Services disclose a pending customer dispute, a prior final customer dispute and a prior financial event.…

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  • Robert Rex, Esq.

Eddie Basora Jr.-Former Merrimac Broker-Named in Regulatory Complaint
Eddie Basora Jr.-Former Merrimac Broker-Named in Regulatory Complaint 150 150 Robert Rex, Esq.

March 2017-Altamonte Springs, Florida According to publicly available records Eddie Basora, Jr.  , (CRD# 4388378) ,  a   former stockbroker who last worked for Merrimac Corporate Securities has been named in a complaint filed…

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  • Robert Rex, Esq.

William F. White-Primex Broker-Discloses FINRA Investigation and Settlement of Customer Dispute
William F. White-Primex Broker-Discloses FINRA Investigation and Settlement of Customer Dispute 150 150 Robert Rex, Esq.

February 2017-New York According to publicly available records William F. White  , (CRD# 2168943) ,  a   stockbroker who is employed by Primex, discloses a  pending FINRA investigation and the settlement of a customer dispute.…

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  • Robert Rex, Esq.

Douglas W. Studer-Former Kovack Securities Broker-Barred by Securities Regulator-Ft. Lauderdale, FL
Douglas W. Studer-Former Kovack Securities Broker-Barred by Securities Regulator-Ft. Lauderdale, FL 150 150 Robert Rex, Esq.

February 2017-Ft. Lauderdale, FL According to publicly available records Douglas W. Studer , (CRD# 4440047) ,  a  former stockbroker who was last employed by Kovack Securities, disclose that he was permanently barred by…

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  • Robert Rex, Esq.

Mark S. Garfinkel-Oppenheimer Broker, Boca Raton-Discloses Customer Disputes and Bankruptcy Filing
Mark S. Garfinkel-Oppenheimer Broker, Boca Raton-Discloses Customer Disputes and Bankruptcy Filing 150 150 Robert Rex, Esq.

August  2016-Boca Raton, Florida The FINRA records of Mark S. Garfinkel ,  a  stock broker who is currently employed  by Oppenheimer & Co.  , disclose  five prior  customer disputes and and one financial event. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Daniel J. O’Neill-Aegis Capital Broker-Discloses Pending Customer Dispute and Outstanding Liens
Daniel J. O’Neill-Aegis Capital Broker-Discloses Pending Customer Dispute and Outstanding Liens 150 150 Robert Rex, Esq.

July 2016-Melville, New York The FINRA records of Daniel J. O’Neill ,  a  stock broker currently employed  by Aegis Capital Corp. , disclose a pending customer dispute, a prior final financial event and 3 outstanding judgment/liens. The…

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  • Robert Rex, Esq.

Donald A. Bartelt-Former Newport Coast Securities Broker-Discloses Pending Regulatory Action for Churning
Donald A. Bartelt-Former Newport Coast Securities Broker-Discloses Pending Regulatory Action for Churning 150 150 Robert Rex, Esq.

July 2016-Cave Creek, AZ The FINRA records of Donald A. Bartelt  , a former stock broker who was last employed by  Newport Coast Securities  , disclose a pending regulatory event,  a prior customer dispute , a pending customer…

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  • Robert Rex, Esq.

Pamela Posey-Former Securities America Broker-Discloses Bankruptcy Filing
Pamela Posey-Former Securities America Broker-Discloses Bankruptcy Filing 150 150 Robert Rex, Esq.

July 2016- Boynton Beach, Florida The FINRA records of Pamela Posey  , a stock broker who formerly worked for  Securities America, disclose  a pending financial event and  3 outstanding judgements/liens The Financial Industry Regulatory Authority (FINRA) is the…

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