• Robert Rex, Esq.

Craig S. Taddonio-Meyers Associates Broker-Discloses Liens, Regulatory Events and Customer Disputes-NY
Craig S. Taddonio-Meyers Associates Broker-Discloses Liens, Regulatory Events and Customer Disputes-NY 150 150 Robert Rex, Esq.

New York MAY 2017 UPDATE– Taddonio’s FINRA record discloses a pending regulatory event, 2 prior final regulatory events, 3 prior final customer disputes,  a currently pending financial event and 5…

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  • Robert Rex, Esq.

Brent Porges-Former Meyers Assoc. Broker-Discloses Customer Disputes & Regulatory Investigations
Brent Porges-Former Meyers Assoc. Broker-Discloses Customer Disputes & Regulatory Investigations 150 150 Robert Rex, Esq.

August 2016- New York The FINRA records of  Brent Porges,  a  former stock broker who is currently not licensed   disclose  a currently pending regulatory matter, a prior regulatory matter, 4 prior customer disputes, a currently…

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  • Robert Rex, Esq.

Hank Werner-Former Legend Securities Broker-Discloses Investigation for Churning Account of Blind & Disabled Widow
Hank Werner-Former Legend Securities Broker-Discloses Investigation for Churning Account of Blind & Disabled Widow 150 150 Robert Rex, Esq.

August  2016-New York The FINRA records of Hank M. Werner ,  a  currently unlicensed stock broker who was most recently employed by Legend Securities Inc.  , discloses a pending FINRA investigation in which he was charged with…

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  • Robert Rex, Esq.

Samuel F. Lek of Lek Securities Discloses 6 Pending Regulatory Investigations
Samuel F. Lek of Lek Securities Discloses 6 Pending Regulatory Investigations 150 150 Robert Rex, Esq.

August  2016-New York The FINRA records of Samuel F. Lek ,  a  stock broker who is currently  employed  by Lek Securities Corporation  , disclose 6 pending FINRA investigations. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses…

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  • Robert Rex, Esq.

Steven P. Capozza-Keystone Capital Broker-Discloses Outstanding Judgment
Steven P. Capozza-Keystone Capital Broker-Discloses Outstanding Judgment 150 150 Robert Rex, Esq.

July 2016-San Diego, CA The FINRA records of Steven P. Capozza ,  a  stock broker employed  by Keystone Capital Corporation , disclose a prior regulatory event, a prior customer dispute and a currently outstanding judgement/lien. The Financial Industry Regulatory Authority (FINRA) is…

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  • Robert Rex, Esq.

Joseph O. Clemente, Jr. -Former J.D. Nicholas Broker-Discloses Customer Complaints
Joseph O. Clemente, Jr. -Former J.D. Nicholas Broker-Discloses Customer Complaints 150 150 Robert Rex, Esq.

July 2016-Garden City, New York The FINRA records of Joseph O. Clemente, Jr. ,  a  currently unlicensed stock broker who was last employed  by Worden Capital Management , disclose a pending customer dispute and a  prior finalized…

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  • Robert Rex, Esq.

Christos A. Kalatoudis-Former Worden Capital Broker-Discloses Regulatory Events & Pending Judgment/Liens
Christos A. Kalatoudis-Former Worden Capital Broker-Discloses Regulatory Events & Pending Judgment/Liens 150 150 Robert Rex, Esq.

July 2016-Lake Success, New York The FINRA records of Christos A. Kalatoudis ,  a currently unlicensed stock broker who was last employed by Worden Capital Management, disclose  2 prior regulatory events,  4 prior finalized customer disputes and 2…

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  • Robert Rex, Esq.

Sperry R. Younger-NMS Capital Advisors Broker-Discloses Customer Dispute
Sperry R. Younger-NMS Capital Advisors Broker-Discloses Customer Dispute 150 150 Robert Rex, Esq.

July 2016-New York The FINRA records of Sperry R. Younger ,  a stock broker who is currently employed by NMS Capital Advisors, LLC, disclose  a currently pending regulatory event, a currently pending customer dispute,  3 prior…

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  • Robert Rex, Esq.

Jeffery A. Vaughn-Former Hornor, Townsend, Kent Broker-Named in FINRA Complaint
Jeffery A. Vaughn-Former Hornor, Townsend, Kent Broker-Named in FINRA Complaint 150 150 Robert Rex, Esq.

July 2016-Horsham, PA The FINRA records of Jeffery A. Vaughn  , a  currently unlicensed stockbroker who was  most recently employed by  Hornor, Townsend & Kent  , disclose a pending regulatory event, 2 prior regulatory events and…

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  • Robert Rex, Esq.

Melissa Strouse of First Financial Equity Corporation Sanctioned by FINRA for Inadequate Supervisory Procedures
Melissa Strouse of First Financial Equity Corporation Sanctioned by FINRA for Inadequate Supervisory Procedures 150 150 Robert Rex, Esq.

UPDATE March 2017–Melissa A. Strouse, CCO of First Financial Equity Corp., has consented, without admitting or denying the allegations made by FINRA, to the entry of certain findings and violations…

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