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Michael Dellaporta, Jr.-Former B.B. Graham & Company-Permanently Barred From FINRA-Ft. Lauderdale, FL
Michael Dellaporta, Jr.-Former B.B. Graham & Company-Permanently Barred From FINRA-Ft. Lauderdale, FL 150 150 ER

July 2021- Ft. Lauderdale, FL According to publicly available records Michael Dellaporta, Jr.  (CRD#500214), a  former stockbroker who last worked for B.B. Graham & Company, Inc.,  has been permanently barred…

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  • Robert Rex, Esq.

David Zuber-Former Securities America Broker- Permanently Barred from FINRA- Independence, OH
David Zuber-Former Securities America Broker- Permanently Barred from FINRA- Independence, OH 150 150 Robert Rex, Esq.

July 2021- Independence, OH According to publicly available records David Zuber (CRD#3239595), a  former stockbroker who last worked for Securities America, Inc.,  has been permanently barred from FINRA. The Financial…

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  • Robert Rex, Esq.

Gregory McCloskey-Former Westpark Capital Broker-Permanently Barred From FINRA- Irvine, CA
Gregory McCloskey-Former Westpark Capital Broker-Permanently Barred From FINRA- Irvine, CA 150 150 Robert Rex, Esq.

July 2021- San Clemente, CA According to publicly available records Gregory McCloskey (CRD#2820510), a  former stockbroker who last worked for Westpark Capital,  has been permanently barred from FINRA. The Financial…

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  • Robert Rex, Esq.

Robert Delaplain- PHX Financial Advisor- Discloses 2 Regulatory Events- Florham Park, NJ
Robert Delaplain- PHX Financial Advisor- Discloses 2 Regulatory Events- Florham Park, NJ 150 150 Robert Rex, Esq.

July 2021- Florham Park, NJ According to publicly available records,  Robert Delaplain a PHX Financial, Inc. financial advisor , discloses 2 regulatory events. The Financial Industry Regulatory Authority (FINRA) is the agency…

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  • Robert Rex, Esq.

Charles Stevens-Former D.H. Hill Broker-Discloses Regulatory Event, 2 Settled Customer Disputes, Pending Dispute and 5 IRS Liens- St. Augustine, FL
Charles Stevens-Former D.H. Hill Broker-Discloses Regulatory Event, 2 Settled Customer Disputes, Pending Dispute and 5 IRS Liens- St. Augustine, FL 150 150 Robert Rex, Esq.

July 2021-St. Augustine, FL According to publicly available records,  formerly a D.H. Hill Securities  financial advisor Charles Stevens,  discloses a regulatory event under review, 2 settled customer disputes and 1 pending…

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  • Robert Rex, Esq.

Charles Bonilla-Former David Lerner Broker-Sanctioned Over Energy LP Sales – Boca Raton, FL
Charles Bonilla-Former David Lerner Broker-Sanctioned Over Energy LP Sales – Boca Raton, FL 150 150 Robert Rex, Esq.

July 2021- Boca Raton, FL According to publicly available records Charles Bonilla (CRD#2572107), a broker who formerly worked for  David Lerner Associates, discloses a regulatory resulting in a suspension and fine…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Daniel Dillard formerly with Sagepoint Financial
Rex Securities Law Investment Fraud Attorney Investigates Daniel Dillard formerly with Sagepoint Financial 150 150 Robert Rex, Esq.

Last Updated: December 2023 (Austin, TX ) Daniel Dillard Investigation Summary Here’s what you need to know about Austin, Texas, stockbroker Daniel Dillard: Name: Mr. Daniel G. Dillard Current Employer:…

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  • Robert Rex, Esq.

Brokerage Firm Joseph Gunnar Discloses Regulatory Issues and Customer Disputes
Brokerage Firm Joseph Gunnar Discloses Regulatory Issues and Customer Disputes 150 150 Robert Rex, Esq.

July 2021-NYC Brokerage firm Joseph Gunnar & Co. was founded in 1997 and is headquartered in New York City. According to their website they have 250 financial consultants with eight…

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  • Robert Rex, Esq.

Charles Kenahan-Former Merrill Lynch Broker-Discloses over $60M in Settlements of Customer Disputes- Boston, MA
Charles Kenahan-Former Merrill Lynch Broker-Discloses over $60M in Settlements of Customer Disputes- Boston, MA 150 150 Robert Rex, Esq.

August 2021- Boston, MA According to publicly available records, former Merrill Lynch, Pierce, Fenner & Smith  financial advisor Charles Kenahan,  discloses 2 regulatory events, 4 final customer disputes, one pending…

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  • Robert Rex, Esq.

Ralph A. Jackson, III- Morgan Stanley Broker-Discloses $7M in Settled Customer Disputes-Los Angeles, CA
Ralph A. Jackson, III- Morgan Stanley Broker-Discloses $7M in Settled Customer Disputes-Los Angeles, CA 150 150 Robert Rex, Esq.

July 2021-Los Angeles, CA According to publicly available records,  Ralph A. Jackson, III (CRD#1569213), a broker currently employed with  Morgan Stanley,  discloses 4 prior customer disputes that were settled. The…

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