• Robert Rex, Esq.

Johnathan W. McHale-Former PHX Financial Broker-Makes Numersous Diclosures On FINRA Record
Johnathan W. McHale-Former PHX Financial Broker-Makes Numersous Diclosures On FINRA Record 150 150 Robert Rex, Esq.

New York According to FINRA records,  Johnathan W. McHale ,   a stock broker  formerly employed by PHX Financial , discloses seven final customer disputes, a termination and 7 pending judgment/liens. The Financial Industry Regulatory Authority (FINRA) is the agency…

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  • Robert Rex, Esq.

Greg Caldwell-Caldwell International Securities Broker-Discloses Regulatory Investigation
Greg Caldwell-Caldwell International Securities Broker-Discloses Regulatory Investigation 150 150 Robert Rex, Esq.

Austin, Texas OCTOBER 2017 UPDATE-Caldwell International Securities was expelled from the securities industry by FINRA January 2017. According to FINRA records,  Greg A. Caldwell,   a stockbroker who is currently  employed by Caldwell International…

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  • Robert Rex, Esq.

Lennie Freiman-Former Caldwell International Securities Broker-Discloses Regulatory Investigation
Lennie Freiman-Former Caldwell International Securities Broker-Discloses Regulatory Investigation 150 150 Robert Rex, Esq.

San Antonio, Texas According to FINRA records,  Lennie S. Freiman,   a stockbroker who most recently worked for Caldwell International Securities, but who is not currently registered with any firm,  discloses  a pending regulatory investigation and…

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  • Robert Rex, Esq.

John Billy Kakonikos-Former Southeast Investments Broker-Suspended Over Account Churning
John Billy Kakonikos-Former Southeast Investments Broker-Suspended Over Account Churning 150 150 Robert Rex, Esq.

East Meadow, New York UPDATE MAY 2017-In November 2016 John B. Kakonikos was suspended by FINRA for 18 months, fined $10,000 and ordered to pay restitution of $72,524 to resolve…

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  • Robert Rex, Esq.

Frank D. Marinelli-Former J.P. Turner Broker-Discloses Two Pending Customer Disputes
Frank D. Marinelli-Former J.P. Turner Broker-Discloses Two Pending Customer Disputes 150 150 Robert Rex, Esq.

Staten Island, New York According to FINRA records,  Frank D. Marinelli,   a stockbroker who currently works for Southeast Investments,  discloses  two pending customer disputes, a termination, two pending judgment/liens and two final customer…

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  • Robert Rex, Esq.

Thomas G. Gresham-Moloney Securities Broker-Subject Of Numerous Energy Sector Loss Suits- Leawood, KS
Thomas G. Gresham-Moloney Securities Broker-Subject Of Numerous Energy Sector Loss Suits- Leawood, KS 150 150 Robert Rex, Esq.

February 2019-Leawood, KS The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and…

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  • Robert Rex, Esq.

Salvatore Gioe- Former PHX Financial Broker-Barred From Securities Industry
Salvatore Gioe- Former PHX Financial Broker-Barred From Securities Industry 150 150 Robert Rex, Esq.

February 2019- New York The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints…

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