• Robert Rex, Esq.

Nicholas Schiano- Spartan Capital Securities Broker-Discloses Two Customer Disputes-New York, NY
Nicholas Schiano- Spartan Capital Securities Broker-Discloses Two Customer Disputes-New York, NY 150 150 Robert Rex, Esq.

October 2019, New York, NY According to publicly available records Nicholas James Schiano (CRD#4429212) ,  a  stockbroker who currently is employed by Spartan Capital Securities,   discloses 1  prior customer dispute and…

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  • Robert Rex, Esq.

Jack D. Stone-Former Forest Securities Broker-Discloses Customer Disputes & Regulatory Issues-Hillside, IL
Jack D. Stone-Former Forest Securities Broker-Discloses Customer Disputes & Regulatory Issues-Hillside, IL 150 150 Robert Rex, Esq.

September 2019 – Hillside, IL The FINRA records of Jack David Stone  , a former stockbroker who was last employed by  Forest Securities, Inc. , disclose 4 regulatory events, 1 pending customer dispute, 2 prior customer…

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  • Robert Rex, Esq.

Michael Giokas-Former Fortune Financial Services-Broker-Pleads Guilty to Fraud-Williamsville, NY
Michael Giokas-Former Fortune Financial Services-Broker-Pleads Guilty to Fraud-Williamsville, NY 150 150 Robert Rex, Esq.

September 2019- Williamsville, NY According to publicly available records  Michael Giokas (CRD# 1398674) ,  a  former stockbroker who was last  employed by Fortune Financial Services, Inc.,  disclose  2 prior regulatory events, a…

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  • Robert Rex, Esq.

Michael Bressman-Former FCG Advisors Broker- Pleads Guilty to Investment Advisor Fraud-Chatham, NJ
Michael Bressman-Former FCG Advisors Broker- Pleads Guilty to Investment Advisor Fraud-Chatham, NJ 150 150 Robert Rex, Esq.

September 2019- Chatham, NJ According to publicly available records  Michael Bressman ,  a  currently unregistered stockbroker, who was last registered with FCG Advisors,  discloses a pending investigation, a pending civil event,…

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  • Robert Rex, Esq.

Jaime R. Rodriguez- Former Cuso Financial Services Broker – Permanently Barred from Industry by FINRA for Stealing from Elderly, Blind Customer- Port Chester, NY
Jaime R. Rodriguez- Former Cuso Financial Services Broker – Permanently Barred from Industry by FINRA for Stealing from Elderly, Blind Customer- Port Chester, NY 150 150 Robert Rex, Esq.

September 2019 – Port Chester, NY The FINRA records of  Jamie R. Rodriguez,  a  former stockbroker who was last employed by Cuso Financial Services disclose he  has been barred from the securities industry…

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  • Robert Rex, Esq.

Luke M. Johnson-Former Coastal Equities Broker-Investigation Over GPB Auto Losses-Scottsdale, AZ
Luke M. Johnson-Former Coastal Equities Broker-Investigation Over GPB Auto Losses-Scottsdale, AZ 150 150 Robert Rex, Esq.

March 2020-Scottsdale, AZ We are investigating  former Coastal Equities Inc. broker Luke Michael Johnson on behalf of an Arizona resident who alleges that she was sold an unsuitable investment in…

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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.

Robert P. Solow- Former Trident Partners Broker-Discloses Pending Customer Suit- Melville, NY
Robert P. Solow- Former Trident Partners Broker-Discloses Pending Customer Suit- Melville, NY 150 150 Robert Rex, Esq.

September 2019, Melville, NY According to publicly available records Robert Paul Solow   (CRD# 4532161) ,  a  stockbroker who is not not registered and who last worked for Joseph Gunnar & Co.…

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