Citigroup/Smith Barney

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Robert David-Former Morgan Stanley Broker-Discloses Multiple Customer Disputes -Farmington Hills, MI
Robert David-Former Morgan Stanley Broker-Discloses Multiple Customer Disputes -Farmington Hills, MI 150 150 ER

Robert David Investigation February 2024- Farmington Hills, MI According to FINRA records,  Robert C. David, Jr.  ,  a broker  who previously worked for Morgan Stanley , discloses a regulatory event,…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates James R. Dickson formerly with Sanctuary Securities
Rex Securities Law Investment Fraud Attorney Investigates James R. Dickson formerly with Sanctuary Securities 150 150 Robert Rex, Esq.

Last Updated: October 2023 (Indianapolis, IN) Jim Dickson Investigation Summary Here’s what you need to know about Indianapolis, IN, stockbroker Jim Dickson: Name: Mr. James R. Dickson Current Employer: Not…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates James Allen formerly with David A. Noyes
Rex Securities Law Investment Fraud Attorney Investigates James Allen formerly with David A. Noyes 150 150 Robert Rex, Esq.

Last Updated: October 2023 (Lake Forest, IL) James Allen Investigation Summary Here’s what you need to know about Lake Forest, IL, stockbroker James Allen: Name: Mr. James Arthur Allen Current…

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  • Robert Rex, Esq.

Nicholas J. Schiano- Former Worden Capital Management Broker- Discloses Customer Disputes- NYC
Nicholas J. Schiano- Former Worden Capital Management Broker- Discloses Customer Disputes- NYC 150 150 Robert Rex, Esq.

September 2019, New York, NY According to publicly available records Nicholas James Schiano   (CRD#4429212) ,  a  stockbroker currently registered  with Spartan Capital Securities,  disclose 1 prior customer dispute and 1 pending…

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  • Robert Rex, Esq.

Employer of Stuart, FLA, Broker Christopher D. Sinkula Named in FINRA Arbitration
Employer of Stuart, FLA, Broker Christopher D. Sinkula Named in FINRA Arbitration 150 150 Robert Rex, Esq.

FOLLOW THIS LINK FOR FEBRUARY 2019 UPDATE-Chris SInkula subject of pending customer disputes of nearly $3 million.  Original Post-September 2017-Stuart, Florida We have filed a FINRA arbitration claim against Janney…

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  • Robert Rex, Esq.

Employer of Stuart, FLA, Broker Christopher D. Sinkula Named in FINRA Arbitration
Employer of Stuart, FLA, Broker Christopher D. Sinkula Named in FINRA Arbitration 150 150 Robert Rex, Esq.

FOLLOW THIS LINK FOR FEBRUARY 2019 UPDATE-Chris SInkula subject of pending customer disputes of nearly $3 million.  September 2017-Stuart, Florida We have filed a FINRA arbitration claim against Janney Montgomery…

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  • Robert Rex, Esq.

Bruce R. Clark-Wells Fargo Broker-Disciplined by Texas Regulator-Longview, TX
Bruce R. Clark-Wells Fargo Broker-Disciplined by Texas Regulator-Longview, TX 150 150 Robert Rex, Esq.

December 2016- Longview, Texas The Texas State Securities Board (TSSB) sanctioned  Bruce Russell Clark (CRD# 2848753) of Longview, Texas,  reprimanding him and assessing an administrative fine of $5,000. According to the TSSB…

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  • Robert Rex, Esq.

Mark S. Garfinkel-Oppenheimer Broker, Boca Raton-Discloses Customer Disputes and Bankruptcy Filing
Mark S. Garfinkel-Oppenheimer Broker, Boca Raton-Discloses Customer Disputes and Bankruptcy Filing 150 150 Robert Rex, Esq.

August  2016-Boca Raton, Florida The FINRA records of Mark S. Garfinkel ,  a  stock broker who is currently employed  by Oppenheimer & Co.  , disclose  five prior  customer disputes and and one financial event. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

John M. Gregory-Former Citigroup Broker-Discloses Termination from Employment
John M. Gregory-Former Citigroup Broker-Discloses Termination from Employment 150 150 Robert Rex, Esq.

White Plains, New York According to FINRA records,  John M. Gregory  ,  a stockbroker  who currently works  for Prospera Financial Services , discloses  a  termination from employment . The Financial Industry Regulatory Authority (FINRA) is…

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