• Robert Rex, Esq.

Daniel T. Fischer-Former Four Points Capital Partners Broker-Barred From Securities Industry-Melville, NY
Daniel T. Fischer-Former Four Points Capital Partners Broker-Barred From Securities Industry-Melville, NY 150 150 Robert Rex, Esq.

UPDATE FEBRUARY 2018-The SEC barred Daniel T. Fischer indefinitely from association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or NRSRO. ORIGINAL POST-January 2018-Melville, New…

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  • Robert Rex, Esq.

Zachary Berkey-Former Four Points Capital Broker-Fined by Regulator-Melville, NY
Zachary Berkey-Former Four Points Capital Broker-Fined by Regulator-Melville, NY 150 150 Robert Rex, Esq.

June 2019-Melville, New York / Texas Zachary S. Berkey , a currently unregistered stockbroker who last worked for Four Points Capital Partners, a Texas LLC, (Four Points) was named in a…

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  • Robert Rex, Esq.

Christopher Anthony-Former Rhodes Securities Broker-Subject of $2M Customer Suit-Arlington, TX
Christopher Anthony-Former Rhodes Securities Broker-Subject of $2M Customer Suit-Arlington, TX 150 150 Robert Rex, Esq.

October 2017-Arlington, Texas The FINRA records of  Christopher P. Anthony, (CRD #1157930) a  stockbroker who is not currently  registered and who was last employed by  Rhodes Securities, Inc. , disclose a currently pending customer dispute, a prior…

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  • Robert Rex, Esq.

Former Alexander Capital Brokers-Billy Gennity and Rocco Roveccio-Named in SEC Fraud Suit-NYC
Former Alexander Capital Brokers-Billy Gennity and Rocco Roveccio-Named in SEC Fraud Suit-NYC 150 150 Robert Rex, Esq.

MARCH 2019 UPDATE-The SEC entered a consent judgment against WIlliam Gennity who was charged with defrauding customers by making unsuitable and unauthorized trades and churning customers’ accounts to generate commissions.…

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  • Robert Rex, Esq.

Dave Nicolas-Garden State Securities Broker-Discloses Customer Dispute-Hackensack, NJ
Dave Nicolas-Garden State Securities Broker-Discloses Customer Dispute-Hackensack, NJ 150 150 Robert Rex, Esq.

August 2017 – Hackensack, NJ According to publicly available records  Dave Nicolas (CRD#5176405) , a former stockbroker  registered with Garden State Securities, Inc. , disclose a customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…

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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.

Northeast Securities Ordered to Pay Former Customer $1.8 Million-Mitchelfield, NY
Northeast Securities Ordered to Pay Former Customer $1.8 Million-Mitchelfield, NY 150 150 Robert Rex, Esq.

July 2017-New York An arbitration panel of the Financial Industry Regulatory Authority (FINRA) ordered Northeast Securities, Inc. a broker dealer headquartered in  Mitchelfield , NY, and three of their brokers…

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