Finra Investigation of Stockbroker Archives

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…

Robert Rex, Esq.
July 15, 2019

Michael Stanton-Worden Capital Management Broker- Discloses $15M Pending Customer Dispute- NYC

Michael Stanton-Worden Capital Management Broker- Discloses $15M Pending Customer Dispute- NYC 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 July 15, 2019 July 15, 2019

July 2019-New York, NY The FINRA records of Michael Salvatore Stanton, a financial advisor employed by Worden Capital Management disclose 2 regulatory events, 3 prior customer disputes, 1 pending customer dispute, a…

Robert Rex, Esq.
July 15, 2019

Summit Brokerage Services Sanctioned for Churning Accounts-Boca Raton, FL

Summit Brokerage Services Sanctioned for Churning Accounts-Boca Raton, 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 July 15, 2019 July 15, 2019

July 2019-Boca Raton, FL Wealthmangement.com reports that Summit Brokerage Services, an independent broker dealer headquartered in Boca Raton, FL, will close it doors and roll its business up into an…

Robert Rex, Esq.
June 25, 2019

Abed William Lulu-Former Worden Capital Broker- Discloses 6 Regulatory Event & Customer Suits – Melville, NY

Abed William Lulu-Former Worden Capital Broker- Discloses 6 Regulatory Event & Customer Suits – Melville, 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 June 25, 2019 June 25, 2019

June 2019-Melville, NY The FINRA records of Abed William Lulu , a financial advisor previously employed by Worden Capital Management disclose 6 regulatory events, 3 prior customer disputes, 4 outstanding judgments. The…

Featured Investigations