• Robert Rex, Esq.

Shawn B. Davis-Former Independent Financial Group Broker-Discloses 6 Pending Customer Disputes And A Prior Customer Dispute – Auburn, CA
Shawn B. Davis-Former Independent Financial Group Broker-Discloses 6 Pending Customer Disputes And A Prior Customer Dispute – Auburn, CA 150 150 Robert Rex, Esq.

October 2019 – Auburn, CA The FINRA records of Shawn Bruce Davis  , a stockbroker who was last employed by  Independent Financial Group , disclose 6 pending customer disputes and  2 prior customer disputes. The Financial…

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  • Robert Rex, Esq.

Allan Montalbano-Former Worden Capital Broker- Discloses 14 Customer Disputes- Westbury, NY
Allan Montalbano-Former Worden Capital Broker- Discloses 14 Customer Disputes- Westbury, NY 150 150 Robert Rex, Esq.

October 2019- Westbury, NY According to publicly available records Allan P Montalbano (CRD#4507029) ,  a  stockbroker who is not currently registered  and who was last registered with Worden Capital Management ,…

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  • Robert Rex, Esq.

Albert Foronda- Spartan Capital Securities Broker- Discloses Customer Disputes- NYC
Albert Foronda- Spartan Capital Securities Broker- Discloses Customer Disputes- NYC 150 150 Robert Rex, Esq.

October 2019- NYC, NY According to publicly available records Albert Foronda.   (CRD#5737620 ,  a  stockbroker  currently registered  with Spartan Capital Securities,  disclose a prior customer dispute and 2 pending customer dispute.…

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  • Robert Rex, Esq.

Nicholas Schiano- Spartan Capital Securities Broker-Discloses Two Customer Disputes-New York, NY
Nicholas Schiano- Spartan Capital Securities Broker-Discloses Two Customer Disputes-New York, NY 150 150 Robert Rex, Esq.

October 2019, New York, NY According to publicly available records Nicholas James Schiano (CRD#4429212) ,  a  stockbroker who currently is employed by Spartan Capital Securities,   discloses 1  prior customer dispute and…

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  • Robert Rex, Esq.

John Dunn Gordinier – Broker With J.J.B. Hilliard, W.L. Lyons – Discloses $100K Settlement of Customer Suit- Louisville, KY
John Dunn Gordinier – Broker With J.J.B. Hilliard, W.L. Lyons – Discloses $100K Settlement of Customer Suit- Louisville, KY 150 150 Robert Rex, Esq.

October 2019- Louisville, KY According to publicly available records John Dunn Gordinier (CRD#2363965) ,  a  stockbroker  currently registered with J.J.B. Hilliard, W.L. Lyons  discloses a  recently settled customer dispute involving energy investments.…

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  • Robert Rex, Esq.

Erik Pica-Joseph Stone Capital Broker-Discloses Customer Disputes & FINRA Investigation- New York, NY
Erik Pica-Joseph Stone Capital Broker-Discloses Customer Disputes & FINRA Investigation- New York, NY 150 150 Robert Rex, Esq.

October 2019 – New York, New York The FINRA records of Erik Patrick Pica  , a  stockbroker who is employed by Joseph Stone Capital , disclose 3 pending customer dispute, 4 prior customer disputes and a…

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  • Robert Rex, Esq.

Jack D. Stone-Former Forest Securities Broker-Discloses Customer Disputes & Regulatory Issues-Hillside, IL
Jack D. Stone-Former Forest Securities Broker-Discloses Customer Disputes & Regulatory Issues-Hillside, IL 150 150 Robert Rex, Esq.

September 2019 – Hillside, IL The FINRA records of Jack David Stone  , a former stockbroker who was last employed by  Forest Securities, Inc. , disclose 4 regulatory events, 1 pending customer dispute, 2 prior customer…

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  • Robert Rex, Esq.

Michael Giokas-Former Fortune Financial Services-Broker-Pleads Guilty to Fraud-Williamsville, NY
Michael Giokas-Former Fortune Financial Services-Broker-Pleads Guilty to Fraud-Williamsville, NY 150 150 Robert Rex, Esq.

September 2019- Williamsville, NY According to publicly available records  Michael Giokas (CRD# 1398674) ,  a  former stockbroker who was last  employed by Fortune Financial Services, Inc.,  disclose  2 prior regulatory events, a…

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  • Robert Rex, Esq.

Michael Bressman-Former FCG Advisors Broker- Pleads Guilty to Investment Advisor Fraud-Chatham, NJ
Michael Bressman-Former FCG Advisors Broker- Pleads Guilty to Investment Advisor Fraud-Chatham, NJ 150 150 Robert Rex, Esq.

September 2019- Chatham, NJ According to publicly available records  Michael Bressman ,  a  currently unregistered stockbroker, who was last registered with FCG Advisors,  discloses a pending investigation, a pending civil event,…

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  • Robert Rex, Esq.

Wayne Boucher- Former Corecap Investments Broker- Discloses Settlement of Customer Disputes-Southfield,MI
Wayne Boucher- Former Corecap Investments Broker- Discloses Settlement of Customer Disputes-Southfield,MI 150 150 Robert Rex, Esq.

September 2019 -Southfield, MI According to publicly available records Wayne T. Boucher  (CRD#26819) , a currently unregistered  stockbroker who last worked for  Corecap Investments disclose  32 prior customer disputes. The Financial Industry Regulatory…

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