Broker Disclosing Outstanding Liens/Judgments Archives

Robert Rex, Esq.
July 12, 2016

Allen B. Holeman-David Lerner Broker-Discloses Regulatory Complaint

Allen B. Holeman-David Lerner Broker-Discloses Regulatory Complaint https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g July 12, 2016 March 15, 2024

July 2016- Syosset, NY The FINRA records of Allen B. Holeman , a stock broker who works for David Lerner Associates , disclose a currently pending regulatory matter and 2 outstanding judgement/liens The Financial Industry Regulatory Authority (FINRA) is…

Robert Rex, Esq.
July 12, 2016

William M. Ditty-HD Vest Broker-Discloses Regulatory Complaint-Dublin, OH

William M. Ditty-HD Vest Broker-Discloses Regulatory Complaint-Dublin, OH https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g July 12, 2016 July 12, 2016

MAY 2017 UPDATE-FINRA records indicate that William M. Ditty, Jr. is not currently registered with any broker dealer. ORIGINAL POST-July 2016– Dublin, Ohio The FINRA records of William M. Ditty, Jr. , a stock broker…

Robert Rex, Esq.
July 9, 2016

Primex Broker Daniel L. Silverstein Discloses Customer Dispute Alleging Churning-Miami, FL

Primex Broker Daniel L. Silverstein Discloses Customer Dispute Alleging Churning-Miami, FL https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g July 9, 2016 July 9, 2016

APRIL 2017 UPDATE–Daniel L. Silverstein , a broker with Primex in Miami, FL, discloses that in currently pending FINRA Case 16-02252 a customer of Primex alleges damages of $431,000 for…

Robert Rex, Esq.
July 9, 2016

Primex Broker Jeffrey S. Cederberg Discloses Sanction -San Luis Obispo, CA

Primex Broker Jeffrey S. Cederberg Discloses Sanction -San Luis Obispo, CA https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g July 9, 2016 July 9, 2016

San Luis Obispo, CA UPDATE JULY 2017-In April 2017, Jeffrey Cederberg was fined $5,000 and suspended for four months by FINRA to resolve allegations that he failed to timely amend…

Robert Rex, Esq.
June 22, 2016

James F. Fosbre IV-Former United Planners Broker-Discloses Customer Dispute, Termination From Employment-Bayville, NJ

James F. Fosbre IV-Former United Planners Broker-Discloses Customer Dispute, Termination From Employment-Bayville, NJ https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 22, 2016 June 22, 2016

January 2020-Bayville, New Jersey According to FINRA records, James F. Fosbre, IV , a stockbroker who formerly worked for United Planners Financial Services , discloses a prior final customer dispute , a termination from employment…

Robert Rex, Esq.
June 20, 2016

Rhonda J. Matthews-Former Prospera Financial Broker-Discloses Suspension

Rhonda J. Matthews-Former Prospera Financial Broker-Discloses Suspension https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 20, 2016 June 20, 2016

Austin, Texas According to FINRA records, Rhonda Janeen Matthews (aka Rhonda Allen) , a former stockbroker who most recently worked for Prospera Financial Services , discloses a regulatory event, a termination and 2 outstanding…

Robert Rex, Esq.
June 13, 2016

Ralph B. Marra-Former Morgan Stanley Broker-Discloses Two Pending Customer Disputes-Red Bank, NJ

Ralph B. Marra-Former Morgan Stanley Broker-Discloses Two Pending Customer Disputes-Red Bank, NJ https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 13, 2016 June 13, 2016

Red Bank, New Jersey UPDATE July 2016–FINRA records disclose that Ralph B. Marra has an outstanding Internal Revenue Service levy at the court in Freehold New Jersey, in the amount…

Robert Rex, Esq.
June 10, 2016

Robert L. Rosenstein-Moody Capital Solutions Broker-Discloses Judgements/Liens

Robert L. Rosenstein-Moody Capital Solutions Broker-Discloses Judgements/Liens https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 10, 2016 June 10, 2016

Dawsonville, Georgia According to FINRA records, Robert L. Rosenstein , a stock broker formerly employed by Ladenburg, Thalmann & Co. , discloses the discharge from a Chapter 7 bankruptcy in 2012 and 5 pending judgment/liens. He is…

Robert Rex, Esq.
June 10, 2016

Johnathan W. McHale-Former PHX Financial Broker-Makes Numersous Diclosures On FINRA Record

Johnathan W. McHale-Former PHX Financial Broker-Makes Numersous Diclosures On FINRA Record https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 10, 2016 June 10, 2016

New York According to FINRA records, Johnathan W. McHale , a stock broker formerly employed by PHX Financial , discloses seven final customer disputes, a termination and 7 pending judgment/liens. The Financial Industry Regulatory Authority (FINRA) is the agency…

Robert Rex, Esq.
June 6, 2016

Francesco A. Scarso-First Standard Financial Broker-Discloses Pending Customer Dispute-NY

Francesco A. Scarso-First Standard Financial Broker-Discloses Pending Customer Dispute-NY https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 6, 2016 June 6, 2016

New York MAY 2017 UPDATE–Francesco Scarso was permanently barred from the securities industry in 2/2017 for failing to respond to a request for information in connection with an investigation. …

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