Finra Investigation of Stockbroker Archives

Robert Rex, Esq.
February 7, 2020

Ramon Arturo Herrera-Former Wells Fargo Broker-Discloses Customer DIsputes Alleging Theft-Jersey City, NJ

Ramon Arturo Herrera-Former Wells Fargo Broker-Discloses Customer DIsputes Alleging Theft-Jersey City, NJ https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g February 7, 2020 February 7, 2020

February 2020-Jersey City, NJ According to publicly available records of Ramon Arturo Herrera (CRD#6021170) , a former stockbroker who last worked for Wells Fargo Clearing Services, discloses 2 regulatory events and…

Robert Rex, Esq.
January 8, 2020

Jack D. Stone-Former Forest Securities Broker-Discloses Customer Disputes and Pending Bankruptcy-Hillside, IL.

Jack D. Stone-Former Forest Securities Broker-Discloses Customer Disputes and Pending Bankruptcy-Hillside, IL. https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g January 8, 2020 January 8, 2020

January 2020 – 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…

Robert Rex, Esq.
January 2, 2020

Jason P. Collichio-Worden Capital Broker-Discloses Regulatory Matter-Rockville Center.,NY

Jason P. Collichio-Worden Capital Broker-Discloses Regulatory Matter-Rockville Center.,NY https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g January 2, 2020 January 2, 2020

September 2021- Rockville Center, NY According to publicly available records Jason Paul Collichio (CRD#4727199) , a stockbroker currently registered with Worden Capital Management discloses a regulatory matter that resulted in a suspension and…

Robert Rex, Esq.
November 11, 2019

Herbert “Elias” Hafen-Former Morgan Stanley Broker-Pleads Guilty to Fraud- New York, NY

Herbert “Elias” Hafen-Former Morgan Stanley Broker-Pleads Guilty to Fraud- New York, NY https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g November 11, 2019 November 11, 2019

November 2019- New York, NY The FINRA records of Herbert “Elias” Hafen , a financial advisor previously employed by Morgan Stanley, disclose a prior regulatory event, a pending criminal matter, a…

Robert Rex, Esq.
October 11, 2019

Erik Pica-Joseph Stone Capital Broker-Discloses Customer Disputes & FINRA Investigation- New York, NY

Erik Pica-Joseph Stone Capital Broker-Discloses Customer Disputes & FINRA Investigation- New York, NY https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g October 11, 2019 October 11, 2019

October 2019 – New York, New York The FINRA records of Erik Patrick Pica , a stockbroker who is employed by Joseph Stone Capital , disclose 3 pending customer dispute, 4 prior customer disputes and a…

Robert Rex, Esq.
September 19, 2019

Chris Fernan – Former Salomon Whitney Broker- Discloses Regulatory Event, 7 Customer Disputes and a Termination From Employment-Greenlawn, NY

Chris Fernan – Former Salomon Whitney Broker- Discloses Regulatory Event, 7 Customer Disputes and a Termination From Employment-Greenlawn, NY https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g September 19, 2019 September 19, 2019

July 2021 – Greenlawn, NY The FINRA records of Christopher Anthony Fernan , a currently unregistered stockbroker who was last employed by Salomon Whitney Financial , disclose 2 regulatory events, a criminal event, 1 pending customer…

Robert Rex, Esq.
September 19, 2019

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 https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g September 19, 2019 September 19, 2019

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…

Robert Rex, Esq.
September 19, 2019

Stephen Pizzuti – Former Freedom Investors Corp. Broker – Discloses 3 Regulatory Events and Customer Suits – Altamonte Springs, FL

Stephen Pizzuti – Former Freedom Investors Corp. Broker – Discloses 3 Regulatory Events and Customer Suits – Altamonte Springs, FL https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g September 19, 2019 September 19, 2019

September 2019 – Brookfield, Wi The FINRA records of Stephen Douglas Pizzuti (CRD #1461660) a stockbroker who formerly was employed by Freedom Investors Corp. disclose 3 final regulatory events and 8 prior customer…

Robert Rex, Esq.
September 11, 2019

Paul (Apostolos) Pitsironis-Former Janney Montgomery Broker- Barred for Stealing From Client

Paul (Apostolos) Pitsironis-Former Janney Montgomery Broker- Barred for Stealing From Client https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g September 11, 2019 September 11, 2019

January 2020 -Melville, New York According to publicly available records Apostolos Nicolas Pitsironis (also known as Paul Pitsironis) , discloses that he was recently barred from the securities industry for…

Robert Rex, Esq.
September 9, 2019

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 https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g September 9, 2019 September 9, 2019

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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