Excessive use of margin borrowing

  • Robert Rex, Esq.

Brandt B. Wendland-Former Feltl & Co. Broker-Named in Customer Arbitration Involving Penny Stocks
Brandt B. Wendland-Former Feltl & Co. Broker-Named in Customer Arbitration Involving Penny Stocks 150 150 Robert Rex, Esq.

Minneapolis, MN According to FINRA records, Brandt B. Wendland , a broker who was  registered  with Feltl & Company from  3/2004-2/2017 and who is now employed by Advanced Advisor Group , disclose a…

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  • Robert Rex, Esq.

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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  • Robert Rex, Esq.

Michael D. Teutonico Discloses Customer Arbitration-E.J. Sterling
Michael D. Teutonico Discloses Customer Arbitration-E.J. Sterling 150 150 Robert Rex, Esq.

May 2016- Lynbrook, 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 and…

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  • Robert Rex, Esq.

Joseph M. Fedorko-Laidlaw & Co. Broker-Named in Customer Disputes
Joseph M. Fedorko-Laidlaw & Co. Broker-Named in Customer Disputes 150 150 Robert Rex, Esq.

February 2019-Stamford , CT 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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  • Robert Rex, Esq.

Shawn Burns-former Salomon Whitney Broker- Named in Customer Arbitrations Alleging High Pressure Stock Sales
Shawn Burns-former Salomon Whitney Broker- Named in Customer Arbitrations Alleging High Pressure Stock Sales 150 150 Robert Rex, Esq.

APRIL 2018 UPDATE-As of April 2018, Shawn Burn’s FINRA record discloses a final regulatory event, 20 prior and one pending customer disputes, 2 terminations from employment, a chapter 7 bankruptcy…

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  • Robert Rex, Esq.

Gary B. Weiss-Former Salomon Whitney Financial Broker-Settles Churning Complaint
Gary B. Weiss-Former Salomon Whitney Financial Broker-Settles Churning Complaint 150 150 Robert Rex, Esq.

April 2018 UPDATE-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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  • Robert Rex, Esq.

Craig G Langweiler – Former Meyers Associates Broker-Discloses Numerous Customer Disputes/Suspension
Craig G Langweiler – Former Meyers Associates Broker-Discloses Numerous Customer Disputes/Suspension 150 150 Robert Rex, Esq.

May 2017-Newton, PA 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.

Mark A. Lisser-Former Garden State Securities Broker- Subject of Customer Suits
Mark A. Lisser-Former Garden State Securities Broker- Subject of Customer Suits 150 150 Robert Rex, Esq.

September 2019 FINRA records disclose that former Garden State Securities stockbroker Mark A. Lisser has two pending customer disputes , 5 prior customer disputes and a termination from employment. FINRA…

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  • Robert Rex, Esq.

Richard Gomez Investigation-Former Legend Securities Broker
Richard Gomez Investigation-Former Legend Securities Broker 150 150 Robert Rex, Esq.

FINRA records report that Richard Gomez , of New York,  who is not currently registered, is currently  named in two customer disputes: FINRA Case 16-0035 filed by a Florida resident against Gomez while he…

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