Morgan Stanley Ordered By FINRA Panel to Pay $8.6 Million to Customer

Morgan Stanley Ordered By FINRA Panel to Pay $8.6 Million to Customer 150 150 Robert Rex, Esq.

Los Angeles, CA In an arbitration conducted by the Financial Industry Regulatory Authority (FINRA) Morgan Stanley was ordered to pay a retiree over $8.6 million in damages for unauthorized trading…

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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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Maria Fan-Former Wilmington Capital Broker-Discloses Customer Dispute

Maria Fan-Former Wilmington Capital Broker-Discloses Customer Dispute 150 150 Robert Rex, Esq.

New York According to FINRA records,  Maria Fan,   a stockbroker who most recently worked for Wilmington Capital Securities, but is not currently registered with any firm,   discloses  a currently pending customer dispute and 2 prior…

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Dion R. Padilla-NEXT Financial Group Stockbroker-Investigation Update

Dion R. Padilla-NEXT Financial Group Stockbroker-Investigation Update 150 150 Robert Rex, Esq.

May 2019 UPDATE- Dion Padilla/ AT&T Retirement Account investigation. See this for details.   Original Post-May 2016 San Antonio, Texas According to FINRA records, Dion R. Padilla ,  a stock broker who has…

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Joseph I. Yanofsky-former Merrill Lynch Broker-Discloses Termination and $400k Customer Claim

Joseph I. Yanofsky-former Merrill Lynch Broker-Discloses Termination and $400k Customer Claim 150 150 Robert Rex, Esq.

  APRIL 2018 UPDATE–See this link.  May 2016-Greenwood Village, Colorado According to FINRA records, Joseph I. Yanofsky,  a broker who has been  registered  with FIrst Financial Equity Corp, since  6/2015 , discloses a…

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Laurence M. Torres -Former Alexander Capital/First Standard Financial Stockbroker Accused of High Pressure Sales

Laurence M. Torres -Former Alexander Capital/First Standard Financial Stockbroker Accused of High Pressure Sales 150 150 Robert Rex, Esq.

MAY 2018 UPDATE-LAURENCE TORRES BARRED FROM SECURITIES INDUSTRY-ACCUSED OF HIGH PRESSURE SALES. See this for details. ORIGINAL POST May 2016- Staten Island, NY The Financial Industry Regulatory Authority (FINRA) is the agency…

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Marc A. Reda-Former PHX Financial Broker-Fined & Suspended-NY

Marc A. Reda-Former PHX Financial Broker-Fined & Suspended-NY 150 150 Robert Rex, Esq.

July 2021  UPDATE -FINRA has filed a complaint alleging that Reda churned accounts and traded customer without authority.  Follow this for update. ORIGINAL POST--May 2016- Garden City, NY The Financial Industry Regulatory…

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Marlon Cole Named in Customer Arbitration Dispute-Legend Securities Broker

Marlon Cole Named in Customer Arbitration Dispute-Legend Securities Broker 150 150 Robert Rex, Esq.

May 2016 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 disputes…

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