Finra Investigation of Stockbroker Archives

Robert Rex, Esq.
July 18, 2016

Donald A. Bartelt-Former Newport Coast Securities Broker-Discloses Pending Regulatory Action for Churning

Donald A. Bartelt-Former Newport Coast Securities Broker-Discloses Pending Regulatory Action for Churning 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 18, 2016 July 18, 2016

July 2016-Cave Creek, AZ The FINRA records of Donald A. Bartelt , a former stock broker who was last employed by Newport Coast Securities , disclose a pending regulatory event, a prior customer dispute , a pending customer…

Robert Rex, Esq.
July 18, 2016

David M. Levy-Former Newport Coast Securities Broker-Barred by FINRA

David M. Levy-Former Newport Coast Securities Broker-Barred by FINRA 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 18, 2016 July 18, 2016

UPDATE November 2016-Wellington, FL —FINRA permanently barred David Michael Levy finding that the trading activity in all of the customer accounts at issue was excessive and inconsistent with the customer’s…

Robert Rex, Esq.
July 18, 2016

Andre V. Labarbera-Former Newport Coast Securities Broker-Discloses FINRA Investigation for Churning

Andre V. Labarbera-Former Newport Coast Securities Broker-Discloses FINRA Investigation for Churning 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 18, 2016 July 18, 2016

July 2016-Dix Hills, NY The FINRA records of Andre V. Labarbera , a stock broker currently employed by Titus Rockefeller , disclose a pending regulatory event and 5 prior customer disputes and a currently pending customer dispute. The…

Robert Rex, Esq.
July 18, 2016

Douglas A. Leone-Former Newport Coast Securities Broker-Discloses Regulatory Investigation for Churning

Douglas A. Leone-Former Newport Coast Securities Broker-Discloses Regulatory Investigation for Churning 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 18, 2016 July 18, 2016

July 2016-Farmingdale, NY The FINRA records of Douglas A. Leone , a stock broker currently employed by Salomon Whitney Financial , disclose a pending regulatory event and 7 prior customer disputes, The Financial Industry Regulatory Authority (FINRA) is the…

Robert Rex, Esq.
July 18, 2016

Rushton L. Ardrey-Former Newport Coast Securities Broker-Discloses Customer Disputes

Rushton L. Ardrey-Former Newport Coast Securities Broker-Discloses Customer Disputes 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 18, 2016 July 18, 2016

July 2016-Boston, MA The FINRA records of Rushton L. Ardrey, III , a former stock broker employed by Newport Coast Securities , disclose 3 prior final regulatory events, a prior customer dispute, 3 currently pending customer disputes and…

Robert Rex, Esq.
July 18, 2016

Stuart Horowitz-Former Securities America Broker-Discloses 37 Customer Disputes

Stuart Horowitz-Former Securities America Broker-Discloses 37 Customer Disputes 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 18, 2016 July 18, 2016

July 2016-Coral Springs, Florida The FINRA records of Stuart Horowitz , a former stock broker employed by Securities America , disclose a prior final regulatory event, 33 prior customer disputes, 4 currently pending customer disputes and a…

Robert Rex, Esq.
July 17, 2016

Bahram Mirhashemi-Former Accelerated Capital Group Broker-Discharged & Barred from Securities Industry

Bahram Mirhashemi-Former Accelerated Capital Group Broker-Discharged & Barred from Securities Industry 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 17, 2016 July 17, 2016

July 2016 The FINRA records of Bahram Mirhashemi , a stock broker who formerly was employed by Accelerated Capital Group , disclose 2 prior final regulatory events, a currently pending regulatory event, 5 currently pending customer disputes, a prior final customer…

Robert Rex, Esq.
July 17, 2016

Jeffrey Smith-Former Accelerated Capital Group Broker-Discloses $750K Customer Arbitration

Jeffrey Smith-Former Accelerated Capital Group Broker-Discloses $750K Customer Arbitration 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 17, 2016 March 15, 2024

UPDATE SEPTEMBER 2017–Jeffrey A. Smith, without admitting or denying the findings, consented to sanctions of a $5,000 fine and a three month suspension from 9/5/2017-12/4/2017, to resolve allegations that he…

Robert Rex, Esq.
July 12, 2016

Matthew DiGregorio-Former J.D. Nicholas Broker-Permanently Barred from Securities Industry-Melville, NY

Matthew DiGregorio-Former J.D. Nicholas Broker-Permanently Barred from Securities Industry-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 July 12, 2016 July 12, 2016

Melville, NY UPDATE JULY 2017-In 11/2016 Matthew DiGregorio was permanently barred from the securities industry by FINRA for failing to pay an award as ordered by a FINRA arbitration panel…

Robert Rex, Esq.
July 12, 2016

Allen B. Holeman-David Lerner Broker-Discloses Regulatory Complaint

Allen B. Holeman-David Lerner Broker-Discloses Regulatory Complaint 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 12, 2016 March 15, 2024

July 2016- Syosset, NY The FINRA records of Allen B. Holeman , a stock broker who works for David Lerner Associates , disclose a currently pending regulatory matter and 2 outstanding judgement/liens The Financial Industry Regulatory Authority (FINRA) is…

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