• Robert Rex, Esq.

Yousuf Saljooki-Former SW Financial Broker- Named In $750K Customer Complaint Alleging High Pressure Sales Techniques-Melville, NY
Yousuf Saljooki-Former SW Financial Broker- Named In $750K Customer Complaint Alleging High Pressure Sales Techniques-Melville, NY 150 150 Robert Rex, Esq.

Yousuf Saljooki Investigation February 2022-Melville, NY The FINRA records of Yousuf Saljooki, a broker who formerly worked for SW Financial (Salomon Whitney Financial) and Worden Capital Management,  disclose 7  final regulatory…

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  • Robert Rex, Esq.

Maxim Beliakov- Former Garden State Securities Broker- Suspended by Regulator for Churning-Red Bank, NJ
Maxim Beliakov- Former Garden State Securities Broker- Suspended by Regulator for Churning-Red Bank, NJ 150 150 Robert Rex, Esq.

Maxim Beliakov Investigation November  2021-Red Bank, NJ According to publicly available records. Maxim Beliakov , a stockbroker formerly employed by Garden State Securities and Woodstock Financial Group  discloses a regulatory suspension. The…

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  • Robert Rex, Esq.

Aegis Capital Corp. Fined $2.8M – Regulator Alleges Excessive Trading by Brokers
Aegis Capital Corp. Fined $2.8M – Regulator Alleges Excessive Trading by Brokers 150 150 Robert Rex, Esq.

Aegis Capital Corp. Investigation November 2021 Aegis Capital was fined nearly $3 million dollars by FINRA for allegedly excessive trading in customer accounts. According to the Letter of Acceptance, Waiver…

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  • Robert Rex, Esq.

Lawrence Goldstein-Former McNally Financial Services Broker-Churning Allegations Result in Bar from Industry- San Antonio, TX
Lawrence Goldstein-Former McNally Financial Services Broker-Churning Allegations Result in Bar from Industry- San Antonio, TX 150 150 Robert Rex, Esq.

Lawrence Goldstein Investigation November 2021- San Antonio, TX According to publicly available records  Lawrence B. Goldstein (CRD#2282699), a  former stockbroker who last worked for McNally Financial Services Corporation, discloses a regulatory…

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  • Robert Rex, Esq.

David Murray-Former Worden Capital/ Laidlaw & Co. Broker- Subject of Churning Suits- Melville, NY
David Murray-Former Worden Capital/ Laidlaw & Co. Broker- Subject of Churning Suits- Melville, NY 150 150 Robert Rex, Esq.

David M. Murray Investigation  November  2021- Holmdel, NJ According to publicly available records David Murray (CRD#1870050), a stockbroker currently employed with  Monmouth Capital Management LLC,  discloses 3 pending and 3 prior…

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  • Robert Rex, Esq.

NEXT Financial Group Fined by State and Federal Regulators-Houston, Texas
NEXT Financial Group Fined by State and Federal Regulators-Houston, Texas 150 150 Robert Rex, Esq.

NEXT Financial Group Investigation September 2021-Houston, TX Houston-based NEXT  Financial Group discloses 26 prior regulatory events, according to FINRA records. These regulatory sanctions include: July 2021-FINRA censured NEXT and assessed a…

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  • Robert Rex, Esq.

Anthony Sica-Joseph Gunnar Broker-Subject of $750K Customer Suit-New York
Anthony Sica-Joseph Gunnar Broker-Subject of $750K Customer Suit-New York 150 150 Robert Rex, Esq.

September 2021- New York The FINRA records of Anthony Sica  , a stock broker who is employed by Joseph Gunnar & Co. , disclose a pending customer suit,  3 regulatory sanctions and  3 prior…

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Efrain Truijillo -Western International Securities Broker- Sanctioned by FINRA- Los Angeles, CA
Efrain Truijillo -Western International Securities Broker- Sanctioned by FINRA- Los Angeles, CA 150 150 ER

September 2021- Los Angeles, CA According to publicly available records,  Efrain Balderrama Trujillo a broker employed by Western International Securities, Inc. discloses a regulatory event and a prior customer dispute.…

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Brett Briggs-Western International Securities Broker- Permanently Barred from FINRA- Bolton, MA
Brett Briggs-Western International Securities Broker- Permanently Barred from FINRA- Bolton, MA 150 150 ER

August 2021- Bolton, MA According to publicly available records,  Brett Briggs a broker currently employed by Western International Securities, Inc. discloses 5 regulatory events and 5 prior customer disputes. The Financial…

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