Cape Securities

  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates John Santariello formerly with Arive Capital Markets
Rex Securities Law Investment Fraud Attorney Investigates John Santariello formerly with Arive Capital Markets 150 150 Robert Rex, Esq.

Last Updated: February 2024 (Coram, NY) John Santariello Investigation Summary Here’s what you need to know about Coram, NY, stockbroker John Santariello: Name: Mr. John Joseph Santariello Current Employer: Barred…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Samuel Phillips, Jr. with Cape Securities
Rex Securities Law Investment Fraud Attorney Investigates Samuel Phillips, Jr. with Cape Securities 150 150 Robert Rex, Esq.

Last Updated: August 2023 (McDonough, GA ) Samuel Phillips, Jr. Investigation Summary Here’s what you need to know about McDonough, GA, stockbroker Samuel Phillips, Jr: Name: Mr. Samuel Bruce Phillips,…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Darwin Junior Dees formerly with Cape Securities
Rex Securities Law Investment Fraud Attorney Investigates Darwin Junior Dees formerly with Cape Securities 150 150 Robert Rex, Esq.

Last Updated: August 2023 (Tifton, GA) Darwin Junior Dees Investigation Summary Here’s what you need to know about Tifton, GA, stockbroker Darwin Junior Dees: Name: Mr. Darwin Junior Dees Current…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Danny Strain with Cape Securities Inc.
Rex Securities Law Investment Fraud Attorney Investigates Danny Strain with Cape Securities Inc. 150 150 Robert Rex, Esq.

Last Updated: August 2023 (Columbus, GA) Danny Strain Investigation Summary Here’s what you need to know about Columbus, GA, stockbroker Danny Strain: Name: Mr. Danny Ray Strain Current Employer: Cape…

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  • ER

Joseph Lianzo -Former SW Financial Broker-Suspended by FINRA-Melville, NY
Joseph Lianzo -Former SW Financial Broker-Suspended by FINRA-Melville, NY 150 150 ER

Joseph A. Lianzo Investigation November  2021 – Melville, NY According to publicly attained records, Joseph Lianzo, a stockbroker who is not currently registered  and who was last employed by SW Financial…

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  • Robert Rex, Esq.

Tyre F. Newsome-Former Cape Securities Broker-Discloses Termination and Outstanding IRS Lien-New York
Tyre F. Newsome-Former Cape Securities Broker-Discloses Termination and Outstanding IRS Lien-New York 150 150 Robert Rex, Esq.

July 2017-New York According to publicly available records Tyre F. Newsome , (CRD# 4812894) ,  a   stockbroker who is  currently registered with Windsor Street Capital , disclose  a prior customer dispute,…

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  • Robert Rex, Esq.

Paul Jacobs-Former Caldwell Securities Broker-Discloses Regulatory Action-Austin, TX
Paul Jacobs-Former Caldwell Securities Broker-Discloses Regulatory Action-Austin, TX 150 150 Robert Rex, Esq.

October 2017-Austin, Texas According to FINRA records,  Paul Jacobs,   a stockbroker who is currently  employed by Cape Securities, discloses  a prior regulatory sanction . The Financial Industry Regulatory Authority (FINRA) is the agency that licenses…

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  • Robert Rex, Esq.

Shawn Burns-former Salomon Whitney Broker- Named in Customer Arbitrations Alleging High Pressure Stock Sales
Shawn Burns-former Salomon Whitney Broker- Named in Customer Arbitrations Alleging High Pressure Stock Sales 150 150 Robert Rex, Esq.

APRIL 2018 UPDATE-As of April 2018, Shawn Burn’s FINRA record discloses a final regulatory event, 20 prior and one pending customer disputes, 2 terminations from employment, a chapter 7 bankruptcy…

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  • Robert Rex, Esq.

Cape Securities Fined $125K by Securities Regulators
Cape Securities Fined $125K by Securities Regulators 150 150 Robert Rex, Esq.

May 5, 2015 Cape Securities  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that: from 2/2012-9/2012 Cape Securities failed…

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