• Robert Rex, Esq.

Joel Blumenschein – Former Freedom Investors Corp. Broker -Discloses a Regulatory Event and Customer Dispute- Brookfield, WI
Joel Blumenschein – Former Freedom Investors Corp. Broker -Discloses a Regulatory Event and Customer Dispute- Brookfield, WI 150 150 Robert Rex, Esq.

September 2018 – Brookfield, WI According to publicly available records Joel Blumenschein  (CRD#1372334) ,  a  stockbroker who formerly was registered with Freedom Investors Corp. ,  disclose a Regulatory Event and a pending customer dispute…

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  • Robert Rex, Esq.

Michael Polyakov- Westpark Capital Broker-Discloses Customer Disputes – Boca Raton, FL
Michael Polyakov- Westpark Capital Broker-Discloses Customer Disputes – Boca Raton, FL 150 150 Robert Rex, Esq.

March 2018 – Boca Raton, FL According to publicly available records Michael Polyakov, (CRD# 734810) ,  a  stockbroker who is currently employed by Westpark Capital ,  disclose 3 prior settled customer disputes . The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Stephen Sullivan-Former Newbridge Securities Broker-Subject of $500K Customer Suit-Melville, NY
Stephen Sullivan-Former Newbridge Securities Broker-Subject of $500K Customer Suit-Melville, NY 150 150 Robert Rex, Esq.

August 2018-Melville, New York According to FINRA records,  Stephen J. Sullivan,   a stockbroker who currently works for SW Financial (formerly Salomon Whitney Financial) ,   discloses  a prior regulatory event, a pending customer dispute, a…

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  • Robert Rex, Esq.

Demos Argyros-Oppenheimer Broker-Discloses Settlement of Customer Suit-St. Louis, MO
Demos Argyros-Oppenheimer Broker-Discloses Settlement of Customer Suit-St. Louis, MO 150 150 Robert Rex, Esq.

March 2019-St. Louis, MO The FINRA records of  Demos Argyros (Demostenes Argyropoulos),  a  stock broker who is currently employed by Oppenheimer and Co. ,  disclose  4 prior customer disputes and one currently pending matter. The…

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  • Robert Rex, Esq.

James E. Lyons-Former Raymond James Broker-Subject of $5M Customer Suit-Shreveport, LA
James E. Lyons-Former Raymond James Broker-Subject of $5M Customer Suit-Shreveport, LA 150 150 Robert Rex, Esq.

July 2018-Shreveport, LA The FINRA records of former Raymond James broker James Edward Lyons disclose that he was recently barred from the securities industry and 1 pending and 5 prior customer disputes…

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  • Robert Rex, Esq.

Alexander Capital Sanctioned For Allowing Brokers to Churn Brokerage Accounts
Alexander Capital Sanctioned For Allowing Brokers to Churn Brokerage Accounts 150 150 Robert Rex, Esq.

MARCH 2019 Update–SEC enters consent judgement vs. William Gennity.  JULY 2018 The Securities and Exchange Commission (SEC) charged Alexander Capital and two of its managers for failing to supervise three…

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  • Robert Rex, Esq.

Mitchell Yanow-Former Stifel Nicolaus Broker-Discharged Over Allegations He Used Customer Funds to Purchase Corvette-Boca Raton, FL
Mitchell Yanow-Former Stifel Nicolaus Broker-Discharged Over Allegations He Used Customer Funds to Purchase Corvette-Boca Raton, FL 150 150 Robert Rex, Esq.

April 2019- Boca Raton, FL The FINRA records of Mitchell Toby Yanow  , a former stock broker disclose  that he was recently barred from the securities industry by FINRA, discharged by Stifel,…

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  • Robert Rex, Esq.

Wayne I. Miller-Former Accelerated Capital Group Broker-Discloses Numerous Customer Suits-Scottsdale, AZ
Wayne I. Miller-Former Accelerated Capital Group Broker-Discloses Numerous Customer Suits-Scottsdale, AZ 150 150 Robert Rex, Esq.

May 2018-Scottsdale, AZ The FINRA records of  Wayne I. Miller ,  a  stockbroker who formerly worked for Accelerated Capital Group disclose a pending regulatory suspension, a pending customer dispute and 2 prior customer…

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