• Robert Rex, Esq.

Lek Securities Named in Market Manipulation Regulatory Action
Lek Securities Named in Market Manipulation Regulatory Action 150 150 Robert Rex, Esq.

UPDATE JUNE 2017-FINRA records disclose that Lek Securities has 20 currently pending regulatory events and 7 prior regulatory events. March 27, 2017 Lek Securities and its CEO Samuel F. Lek…

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  • Robert Rex, Esq.

Leon Paul Rehak-Former Raymond James Broker-Named in Churning Complaint-Pompano, FL
Leon Paul Rehak-Former Raymond James Broker-Named in Churning Complaint-Pompano, FL 150 150 Robert Rex, Esq.

March 2017-Pompano Beach, FL According to publicly available records Leon Paul Rehak  , (CRD# 2331058) ,  a   stockbroker who presently works for LPL Financial,  discloses a pending customer dispute. The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Scott Sibley-Former Raymond James Broker-Discloses Multiple Customer Disputes Alleging Abuse of the Elderly-Boca Raton, FL
Scott Sibley-Former Raymond James Broker-Discloses Multiple Customer Disputes Alleging Abuse of the Elderly-Boca Raton, FL 150 150 Robert Rex, Esq.

April 2017-Boca Raton, FL According to publicly available records Scott Allen Sibley  , (CRD# 1523981) ,  a   former stockbroker who last worked for Moors & Cabot,  discloses 3 prior regulatory events, 2 pending…

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  • Robert Rex, Esq.

Aegis Capital Corp. Discloses Investigation by FINRA, SEC & FINCEN
Aegis Capital Corp. Discloses Investigation by FINRA, SEC & FINCEN 150 150 Robert Rex, Esq.

March 2017-New York According to publicly available records filed with the Securities & Exchange Commission, Aegis Capital Corporation is being investigated by three regulatory agencies: FINRA-The Financial Industry Regulatory Authority SEC-Securities &…

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  • Robert Rex, Esq.

Jack C Bixler-Sandlapper Securities Broker-Discloses Pending Regulatory Matter-Greenville, S.C.
Jack C Bixler-Sandlapper Securities Broker-Discloses Pending Regulatory Matter-Greenville, S.C. 150 150 Robert Rex, Esq.

February 2017-Greenville, South Carolina According to publicly available records Jack Charles Bixler , (CRD# 22331) ,  a   stockbroker who is currently employed by Sandlapper Securities, discloses a pending regulatory matter. The Financial…

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  • Robert Rex, Esq.

Matthew J. Westfall-Former Securities America Broker-Discloses Pending Customer Dispute
Matthew J. Westfall-Former Securities America Broker-Discloses Pending Customer Dispute 150 150 Robert Rex, Esq.

February 2017-Grand Isle, NE According to publicly available records Matthew J. Westfall , (CRD# 1112977) ,  a   stockbroker who is not currently registered, discloses a pending customer dispute, a discharge from…

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  • Robert Rex, Esq.

William F. White-Primex Broker-Discloses FINRA Investigation and Settlement of Customer Dispute
William F. White-Primex Broker-Discloses FINRA Investigation and Settlement of Customer Dispute 150 150 Robert Rex, Esq.

February 2017-New York According to publicly available records William F. White  , (CRD# 2168943) ,  a   stockbroker who is employed by Primex, discloses a  pending FINRA investigation and the settlement of a customer dispute.…

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  • Robert Rex, Esq.

Carlos N. Evertsz-Seda-K.C. Ward Financial Broker-Discloses Customer Dispute
Carlos N. Evertsz-Seda-K.C. Ward Financial Broker-Discloses Customer Dispute 150 150 Robert Rex, Esq.

January 2016-Ronkonkoma, NY According to publicly available records Carlos N. Evertsz-Seda  , (CRD# 4285605) ,  a   stockbroker who is currently employed by K.C. Ward Financial, discloses a  pending customer dispute. The…

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  • Robert Rex, Esq.

Dennis Van Patter-Former VSR Financial Services Broker-Discloses Pending Customer Disputes-Plano, TX
Dennis Van Patter-Former VSR Financial Services Broker-Discloses Pending Customer Disputes-Plano, TX 150 150 Robert Rex, Esq.

February  2017-Plano, Texas According to public records former VSR Financial Services broker Dennis Van Patter discloses a prior final regulatory event, 7 prior customer disputes that are final and 3 pending customer…

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