• Robert Rex, Esq.

John Piro-Joseph Gunnar Broker-Discloses Customer Dispute Alleging Churning
John Piro-Joseph Gunnar Broker-Discloses Customer Dispute Alleging Churning 150 150 Robert Rex, Esq.

January 2017-Melville, New York According to publicly available records John J. Piro , (CRD# 4539787) ,  a  stockbroker currently employed by Joseph Gunnar & Co. ,  disclose a pending customer dispute. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Mark Beloyan of Tradespot Markets Suspended by Securities Regulators-Davie, FL
Mark Beloyan of Tradespot Markets Suspended by Securities Regulators-Davie, FL 150 150 Robert Rex, Esq.

December 2016-Davie, FL The FINRA records of  Mark B. Beloyan,  a  stockbroker with Tradespot Markets, Inc. , disclose 3 prior regulatory events that are final and two financial disclosures. The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Jesse Shelmire-Stonegate Capital Markets Broker-Sanctioned by Regulators Over IRS Liens
Jesse Shelmire-Stonegate Capital Markets Broker-Sanctioned by Regulators Over IRS Liens 150 150 Robert Rex, Esq.

November 2016- Dallas, Texas The FINRA records of  Jesse B. Shelmire, IV,  a  stockbroker who is currently  employed by  Stonegate Capital Markets, Inc.  disclose 2 prior regulatory events that are final, a pending investigation and…

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  • Robert Rex, Esq.

Craig S. Taddonio-Meyers Associates Broker-Discloses Liens, Regulatory Events and Customer Disputes-NY
Craig S. Taddonio-Meyers Associates Broker-Discloses Liens, Regulatory Events and Customer Disputes-NY 150 150 Robert Rex, Esq.

New York MAY 2017 UPDATE– Taddonio’s FINRA record discloses a pending regulatory event, 2 prior final regulatory events, 3 prior final customer disputes,  a currently pending financial event and 5…

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  • Robert Rex, Esq.

Brent Porges-Former Meyers Assoc. Broker-Discloses Customer Disputes & Regulatory Investigations
Brent Porges-Former Meyers Assoc. Broker-Discloses Customer Disputes & Regulatory Investigations 150 150 Robert Rex, Esq.

August 2016- New York The FINRA records of  Brent Porges,  a  former stock broker who is currently not licensed   disclose  a currently pending regulatory matter, a prior regulatory matter, 4 prior customer disputes, a currently…

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  • Robert Rex, Esq.

Joseph F. Comiskey-K.C. Ward Financial Broker-Discloses Customer Dispute & Outstanding Liens
Joseph F. Comiskey-K.C. Ward Financial Broker-Discloses Customer Dispute & Outstanding Liens 150 150 Robert Rex, Esq.

August 2016- Ronkonkoma, NY The FINRA records of Joseph F. Comiskey, Jr. ,  a  stock broker who is currently  employed by K. C. Ward Financial  disclose  a currently pending customer dispute, 2 prior customer disputes,…

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  • Robert Rex, Esq.

Craig D. Dima-Former K.C. Ward Financial Broker-Barred From Securities Industry
Craig D. Dima-Former K.C. Ward Financial Broker-Barred From Securities Industry 150 150 Robert Rex, Esq.

June 2017- Ronkonkoma, NY The FINRA records of Craig D. Dima ,  a former  stock broker who was last employed by K. C. Ward Financial  disclose 3 prior regulatory events,  5 prior customer disputes, 2…

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  • Robert Rex, Esq.

Thomas J. Briguccia-K.C. Ward Financial Broker-Discloses Customer Disputes & Outstanding Judgments
Thomas J. Briguccia-K.C. Ward Financial Broker-Discloses Customer Disputes & Outstanding Judgments 150 150 Robert Rex, Esq.

August 2016- Ronkonkoma, NY The FINRA records of Thomas J. Briguccia, Jr. ,  a  stock broker who is currently  employed by K. C. Ward Financial  disclose 3 currently pending customer disputes, a6 prior customer disputes…

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  • Robert Rex, Esq.

Hank Werner-Former Legend Securities Broker-Discloses Investigation for Churning Account of Blind & Disabled Widow
Hank Werner-Former Legend Securities Broker-Discloses Investigation for Churning Account of Blind & Disabled Widow 150 150 Robert Rex, Esq.

August  2016-New York The FINRA records of Hank M. Werner ,  a  currently unlicensed stock broker who was most recently employed by Legend Securities Inc.  , discloses a pending FINRA investigation in which he was charged with…

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  • Robert Rex, Esq.

Nicholas Parisi-Former Aegis Capital Broker-Discloses Customer Dispute & Outstanding Liens
Nicholas Parisi-Former Aegis Capital Broker-Discloses Customer Dispute & Outstanding Liens 150 150 Robert Rex, Esq.

April 2019-New York The FINRA records of Nicholas Parisi ,  a  stock broker who is currently  unlicensed and who was most recently employed  by Aegis Capital Corp.  , disclose a settled customer dispute and 2 outstanding…

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