• Robert Rex, Esq.

James Pheney-Former WFG Investments Broker-Discloses Pending Customer Dispute-Castle Rock,CO/Brenham, TX
James Pheney-Former WFG Investments Broker-Discloses Pending Customer Dispute-Castle Rock,CO/Brenham, TX 150 150 Robert Rex, Esq.

July 2017 -Castle Rock, CO-Brenham, Texas According to publicly available records James K. Pheney  (CRD#1272932) ,  a  stockbroker who currently is employed by Mid Atlantic Capital Corp. ,  disclose a pending customer dispute. The…

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  • Robert Rex, Esq.

Ernest Romer III-Former CoreCap Investments Broker-Alleged to Have Stolen Funds from Securities Customers-Sterling Heights, MI
Ernest Romer III-Former CoreCap Investments Broker-Alleged to Have Stolen Funds from Securities Customers-Sterling Heights, MI 150 150 Robert Rex, Esq.

APRIL 2018 UPDATE–The FINRA record of Ernest Romer III now discloses 15 pending customer disputes and 5 prior final customer disputes and 2 pending investigations. The investigations by Michigan Department…

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  • Robert Rex, Esq.

Rocco Lavista-Former Aegis Capital Corp. Broker-Discloses Customer Suits Alleging Churning – Iselin, NJ
Rocco Lavista-Former Aegis Capital Corp. Broker-Discloses Customer Suits Alleging Churning – Iselin, NJ 150 150 Robert Rex, Esq.

September 2019-Tinton Falls, NJ According to publicly available records Rocco J. Lavista (CRD#2784573) ,  a  currently unregistered stockbroker who was last registered with Arive Capital Markets , discloses settlement of 2 customer disputes. The Financial…

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  • Robert Rex, Esq.

Todd Allen Burnett-Oppenheimer & Co. Broker-Discloses Customer Dispute Alleging Churning – St. Louis, MO
Todd Allen Burnett-Oppenheimer & Co. Broker-Discloses Customer Dispute Alleging Churning – St. Louis, MO 150 150 Robert Rex, Esq.

August 2017 – St. Louis, MO According to publicly available records Todd Allen Burnett (CRD#2703620) ,  a  stockbroker who currently is employed by Oppenheimer & Co. ,  disclose a recently filed customer dispute. The Financial…

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  • Robert Rex, Esq.

Banca IMI Securities Pays $35M to Resolve SEC Issue
Banca IMI Securities Pays $35M to Resolve SEC Issue 150 150 Robert Rex, Esq.

August 2017 The US Securities and Exchange Commission (SEC) announced that brokerage firm Banca IMI Securities Corp. (BISC) agreed to pay over $35 million to settle charges that it violated…

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  • Robert Rex, Esq.

Damian Bell -Prior WFG Investments, Inc. Broker-Discloses Customer Disputes-Daphne, AL
Damian Bell -Prior WFG Investments, Inc. Broker-Discloses Customer Disputes-Daphne, AL 150 150 Robert Rex, Esq.

September  2017 – Daphne, AL According to publicly available records Damian M. Bell  (CRD#2348521) ,  a  stockbroker who was previously employed by WFG (Williams Financial Group) Investments, Inc. ,  disclose 2 pending and 5…

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  • Robert Rex, Esq.

James K. Pheney-WFG Investments, Inc. Broker-Discloses Pending Customer Dispute-Castle Rock, CO.
James K. Pheney-WFG Investments, Inc. Broker-Discloses Pending Customer Dispute-Castle Rock, CO. 150 150 Robert Rex, Esq.

July  2017- Castle Rock, CO According to publicly available records James K. Pheney  (CRD#1272932) ,  a  stockbroker who currently is employed by WFG (Williams Financial Group) Investments, Inc. ,  disclose a pending customer dispute.…

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  • Robert Rex, Esq.

Edward A. Horwitz-Western International Securities Broker-Discloses Customer Dispute-Deerfield, IL
Edward A. Horwitz-Western International Securities Broker-Discloses Customer Dispute-Deerfield, IL 150 150 Robert Rex, Esq.

July 2017- Deerfield, IL According to publicly available records Edward Alan Horwitz (CRD#2154232) ,  a  stockbroker currently registered with Western International Securities, Inc., discloses a customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…

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  • Robert Rex, Esq.

Boiler Room Stock Fraudsters Convicted by Miami Federal Jury
Boiler Room Stock Fraudsters Convicted by Miami Federal Jury 150 150 Robert Rex, Esq.

June 2017-Miami, Florida A federal grand jury in Miami convicted five individuals for their roles in a boiler room securities fraud scheme that defrauded over 700 victims out of $23…

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  • Robert Rex, Esq.

Daniel J. Haugh-PTI Securities & Futures Broker-Discloses Customer Arbitration & Regulatory Sanction-Chicago, IL
Daniel J. Haugh-PTI Securities & Futures Broker-Discloses Customer Arbitration & Regulatory Sanction-Chicago, IL 150 150 Robert Rex, Esq.

Updated January 2019-Chicago According to publicly available records Daniel John Haugh  (CRD#2162854) ,  a  stockbroker who currently is the chief compliance officer of  PTI Securities & Futures , disclose a recent regulatory event…

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