• Robert Rex, Esq.

Jeffrey Smith-Former Accelerated Capital Group Broker-Discloses $750K Customer Arbitration
Jeffrey Smith-Former Accelerated Capital Group Broker-Discloses $750K Customer Arbitration 150 150 Robert Rex, Esq.

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…

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  • Robert Rex, Esq.

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 150 150 Robert Rex, Esq.

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…

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  • Robert Rex, Esq.

Allen B. Holeman-David Lerner Broker-Discloses Regulatory Complaint
Allen B. Holeman-David Lerner Broker-Discloses Regulatory Complaint 150 150 Robert Rex, Esq.

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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  • Robert Rex, Esq.

William M. Ditty-HD Vest Broker-Discloses Regulatory Complaint-Dublin, OH
William M. Ditty-HD Vest Broker-Discloses Regulatory Complaint-Dublin, OH 150 150 Robert Rex, Esq.

MAY 2017 UPDATE-FINRA records indicate that William M. Ditty, Jr. is not currently registered with any broker dealer. ORIGINAL POST-July 2016– Dublin, Ohio The FINRA records of William M. Ditty, Jr.  , a stock broker…

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  • Robert Rex, Esq.

Maximillian Santos-Former National Securities Corp Broker-Discloses Pending Regulatory Matter
Maximillian Santos-Former National Securities Corp Broker-Discloses Pending Regulatory Matter 150 150 Robert Rex, Esq.

July 2016- New York The FINRA records of Maximillian Santos  , a stock broker who most recently worked for Blackbook Capital, LLC  , disclose  a currently pending regulatory matter, a prior final regulatory event and a termination from employment.…

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  • Robert Rex, Esq.

Joshua S. Fortin-Money Capital Concepts Broker-Discloses Regulatory Investigation
Joshua S. Fortin-Money Capital Concepts Broker-Discloses Regulatory Investigation 150 150 Robert Rex, Esq.

July 2016- Cincinnati, OH The FINRA records of Joshua Standish “J.S.”  Fortin  , a stock broker currently employed by Money Concepts Capital Corp , disclose  a prior final regulatory event, a prior final customer dispute and a…

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  • Robert Rex, Esq.

Primex Broker Jeffrey S. Cederberg Discloses Sanction -San Luis Obispo, CA
Primex Broker Jeffrey S. Cederberg Discloses Sanction -San Luis Obispo, CA 150 150 Robert Rex, Esq.

San Luis Obispo, CA UPDATE JULY 2017-In April 2017, Jeffrey Cederberg was fined $5,000 and suspended for four months by FINRA to resolve allegations that he failed to timely amend…

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  • Robert Rex, Esq.

Kenley Brisard -Former RIdgeway & Conger Broker-Discloses Regulatory Investigation and Termination From Employment
Kenley Brisard -Former RIdgeway & Conger Broker-Discloses Regulatory Investigation and Termination From Employment 150 150 Robert Rex, Esq.

Jericho, New York According to FINRA records,  Kenley Brisard ,   a stockbroker who formerly worked for  Ridgeway & Conger   discloses a pending regulatory matter, a  final customer dispute and 2 terminations from employment and 3 pending judgment/liens.…

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  • Robert Rex, Esq.

Rhonda J. Matthews-Former Prospera Financial Broker-Discloses Suspension
Rhonda J. Matthews-Former Prospera Financial Broker-Discloses Suspension 150 150 Robert Rex, Esq.

Austin, Texas According to FINRA records,  Rhonda Janeen Matthews (aka Rhonda Allen)  ,  a former stockbroker  who most recently worked  for Prospera Financial Services , discloses  a  regulatory event, a termination and 2 outstanding…

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