• Robert Rex, Esq.

Jonathan E. Rago-Former Aegis Capital Broker-Discloses Pending Customer Dispute
Jonathan E. Rago-Former Aegis Capital Broker-Discloses Pending Customer Dispute 150 150 Robert Rex, Esq.

August  2016-Melville, New York The FINRA records of Jonathan E. Rago ,  a  stock broker who is not currently registered but was last employed  by Aegis Capital Corp. , disclose a pending customer dispute and two prior regulatory events.…

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  • Robert Rex, Esq.

Nicholas F. Milano-Former Aegis Capital Broker-Disclosed Customer Arbitrations
Nicholas F. Milano-Former Aegis Capital Broker-Disclosed Customer Arbitrations 150 150 Robert Rex, Esq.

August  2016-Melville, New York The FINRA records of Nicholas F. Milano ,  a  stock broker who is not currently registered but was last employed  by Aegis Capital Corp. , disclose a pending customer dispute and a prior FINRA award…

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  • Robert Rex, Esq.

Rick J. Sande-Aegis Capital Broker-Discloses Pending Customer Arbitration Claim
Rick J. Sande-Aegis Capital Broker-Discloses Pending Customer Arbitration Claim 150 150 Robert Rex, Esq.

August  2016-Melville, New York The FINRA records of Rick J. Sande ,  a  stock broker who is currently employed by Aegis Capital , disclose a pending customer dispute and a prior final customer dispute. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

GWN Securities Agrees to $20K Fine with Florida Securities Regulators
GWN Securities Agrees to $20K Fine with Florida Securities Regulators 150 150 Robert Rex, Esq.

July 2016- Palm Beach Gardens, FL The FINRA records of GWN Securities, Inc. ,  a  stock brokerage firm whose main office is located in Palm Beach Gardens, FL , disclose a recently finalized regulatory event. The Financial…

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  • Robert Rex, Esq.

Robert Kyle Ratcliff-Stifel,Nicolaus Broker-Discloses Customer Arbitration-Denton, TX
Robert Kyle Ratcliff-Stifel,Nicolaus Broker-Discloses Customer Arbitration-Denton, TX 150 150 Robert Rex, Esq.

Denton, Texas UPDATE JULY 2017–FINRA records disclose that arbitration 15-3427, discussed below, was settled 2/2017 for $117,477.  August  2016-ORIGINAL POST   The FINRA records of Robert Kyle Ratcliff ,  a  stock broker who is currently employed…

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  • Robert Rex, Esq.

Frank J. McPartland-NBC Securities Broker-Discloses Pending Customer Arbitration
Frank J. McPartland-NBC Securities Broker-Discloses Pending Customer Arbitration 150 150 Robert Rex, Esq.

August  2016-Tampa, Florida The FINRA records of Frank J. McPartland ,  a  stock broker who is currently employed by NBC Securities, Inc.  , discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses…

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  • Robert Rex, Esq.

Kristopher R. Tung-Axiom Capital Mgmt. Broker-Discloses Pending Customer Arbitration
Kristopher R. Tung-Axiom Capital Mgmt. Broker-Discloses Pending Customer Arbitration 150 150 Robert Rex, Esq.

August  2016-Westbury, New York The FINRA records of Kristopher R. Tung ,  a  stock broker who is currently employed by Axiom Capital Management  , discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that…

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  • Robert Rex, Esq.

Hank Werner-Former Legend Securities Broker-Discloses Investigation for Churning Account of Blind & Disabled Widow
Hank Werner-Former Legend Securities Broker-Discloses Investigation for Churning Account of Blind & Disabled Widow 150 150 Robert Rex, Esq.

August  2016-New York The FINRA records of Hank M. Werner ,  a  currently unlicensed stock broker who was most recently employed by Legend Securities Inc.  , discloses a pending FINRA investigation in which he was charged with…

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  • Robert Rex, Esq.

Samuel F. Lek of Lek Securities Discloses 6 Pending Regulatory Investigations
Samuel F. Lek of Lek Securities Discloses 6 Pending Regulatory Investigations 150 150 Robert Rex, Esq.

August  2016-New York The FINRA records of Samuel F. Lek ,  a  stock broker who is currently  employed  by Lek Securities Corporation  , disclose 6 pending FINRA investigations. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses…

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  • Robert Rex, Esq.

The Investment Center Fined $50K For Sale of Energy Stocks to Texas Residents
The Investment Center Fined $50K For Sale of Energy Stocks to Texas Residents 150 150 Robert Rex, Esq.

August 2016- Austin Texas The Texas State Securities Board (TSSB) sanctioned The Investment Center, Inc. , a New Jersey securities dealer registered in Texas for failing to supervise one of…

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