• Robert Rex, Esq.

Douglas Lee-Former Worden Capital Broker- Discloses Customer Disputes-Garden City, NY
Douglas Lee-Former Worden Capital Broker- Discloses Customer Disputes-Garden City, NY 150 150 Robert Rex, Esq.

January 2020 – Garden City, NY The FINRA records of Douglas Lee , a stockbroker who was last employed by  Worden Capital Management , disclose a pending customer dispute and  3 prior customer disputes. The…

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  • Robert Rex, Esq.

John M. Marinaccio- Worden Capital Broker-Discloses Terminations-Ramsey, NJ
John M. Marinaccio- Worden Capital Broker-Discloses Terminations-Ramsey, NJ 150 150 Robert Rex, Esq.

January 2020 – Ramsey, NJ The FINRA records of John Michael Marinaccio , who is currently  employed by  Worden Capital Management , disclose 2 terminations from employment. The Financial Industry Regulatory Authority (FINRA) is the…

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  • Robert Rex, Esq.

Wesley S. Wallace- Former Worden Capital Broker- Discloses 2 Prior Customer Disputes- Garden City, NY
Wesley S. Wallace- Former Worden Capital Broker- Discloses 2 Prior Customer Disputes- Garden City, NY 150 150 Robert Rex, Esq.

January 2020 -Garden City, NY The FINRA records of Wesley S. Wallace  , a stockbroker who was last employed by  Worden Capital Management , disclose 2  prior customer disputes. The Financial Industry Regulatory Authority (FINRA) is…

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  • Robert Rex, Esq.

Martin D. Batstone-Former Newbridge Securities Broker- Discloses 2 Regulatory Events and 6 Customer Disputes-San Diego, CA
Martin D. Batstone-Former Newbridge Securities Broker- Discloses 2 Regulatory Events and 6 Customer Disputes-San Diego, CA 150 150 Robert Rex, Esq.

January 2020 – San Diego, CA The FINRA records of of Martin David Batstone  , a suspended stockbroker who was last employed by  Newbridge Securities, disclose 2 regulatory events and  6 prior customer…

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  • Robert Rex, Esq.

Corey L. Mireau-Former Ameriprise Financial Services Broker-Discloses Regulatory Event & Settled Customer Dispute-Eden Prairie, MN
Corey L. Mireau-Former Ameriprise Financial Services Broker-Discloses Regulatory Event & Settled Customer Dispute-Eden Prairie, MN 150 150 Robert Rex, Esq.

January 2020 – Eden Prairie, MN The FINRA records of Corey Lee Mireau, a stockbroker who is currently  not registered with any broker dealer, disclose a regulatory event, 2  settled  customer disputes, …

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  • Robert Rex, Esq.

John Torres-FormerJP Morgan Broker- Discloses Pending Customer Disputes- Northridge, CA
John Torres-FormerJP Morgan Broker- Discloses Pending Customer Disputes- Northridge, CA 150 150 Robert Rex, Esq.

January 2020 – Northridge, CA According to publicly available records John Luis Torres (CRD#6322231) ,  a  former stockbroker discloses a regulatory event resulting in his bar from the industry , 2 pending…

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  • Robert Rex, Esq.

Douglas Lee-Former Worden Capital Management Broker-Discloses Customer Disputes-Garden City, NY
Douglas Lee-Former Worden Capital Management Broker-Discloses Customer Disputes-Garden City, NY 150 150 Robert Rex, Esq.

November 2019 – Garden City, NY The FINRA records of Douglas Lee , a stockbroker who was last employed by  Worden Capital Management , disclose a pending customer dispute and  3 prior customer disputes. The…

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  • Robert Rex, Esq.

Bradley Mascho-Former Western International Securities Broker- Charged with Securities Fraud- Frederick, MD
Bradley Mascho-Former Western International Securities Broker- Charged with Securities Fraud- Frederick, MD 150 150 Robert Rex, Esq.

November 2019 – Frederick, MD The FINRA records of Bradley Mascho  , a currently unregistered stockbroker who was last employed by  Western International Securities, discloses 2 regulatory events , a criminal event, a civil event,…

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  • Robert Rex, Esq.

Herbert “Elias” Hafen-Former Morgan Stanley Broker-Pleads Guilty to Fraud- New York, NY
Herbert “Elias” Hafen-Former Morgan Stanley Broker-Pleads Guilty to Fraud- New York, NY 150 150 Robert Rex, Esq.

November  2019- New York, NY The FINRA records of  Herbert “Elias” Hafen ,  a  financial advisor previously employed by  Morgan Stanley, disclose a prior regulatory event,  a pending criminal matter, a…

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