• 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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  • Robert Rex, Esq.

Emil Botvinnik-Former SW Financial/ Worden Capital Broker-Accused of Churning by Regulator
Emil Botvinnik-Former SW Financial/ Worden Capital Broker-Accused of Churning by Regulator 150 150 Robert Rex, Esq.

UPDATED January 2019-In 9/2018, the US Securities & Exchange Commission filed a civil suit alleging that Botvinnik engaged in fraud involving excessive commissions to enrich himself while his customers experienced…

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  • Robert Rex, Esq.

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 150 150 Robert Rex, Esq.

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…

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  • Robert Rex, Esq.

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 150 150 Robert Rex, Esq.

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…

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  • Robert Rex, Esq.

Matthew T. Flynn-L.M. Kohn Broker-Discloses Customer Dispute Over REIT Investment
Matthew T. Flynn-L.M. Kohn Broker-Discloses Customer Dispute Over REIT Investment 150 150 Robert Rex, Esq.

July 2016- Troy, Michigan The FINRA records of Matthew T. Flynn  , a stock broker employed by L.M. Kohn & Company, disclose  a pending customer arbitration, a prior final financial disclosure and a prior termination. The…

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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.

Philip Brisard-Former Ridgeway & Conger Broker-Discloses Pending Regulatory Matter and Termination from Employment
Philip Brisard-Former Ridgeway & Conger Broker-Discloses Pending Regulatory Matter and Termination from Employment 150 150 Robert Rex, Esq.

Jericho, New York According to FINRA records,  Philip Brisard ,   a stockbroker who formerly worked for  Ridgeway & Conger   discloses a pending regulatory matter, 4 final customer disputes and a termination from employment. The Financial Industry…

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  • Robert Rex, Esq.

Clint Smith-Former Edward Jones Broker-Barred From Securities Industry-Beaumont, Texas
Clint Smith-Former Edward Jones Broker-Barred From Securities Industry-Beaumont, Texas 150 150 Robert Rex, Esq.

UPDATED JULY 2018 Lumberton/Beaumont , Texas According to FINRA records,  Wesley “Clint” Smith ,  a stockbroker  who formerly worked  for Edward Jones discloses  a pending customer dispute, 7 prior customer disputes and one final…

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  • Robert Rex, Esq.

Investors Capital Corp. Discloses 22 Regulatory Issues-Withdraws FINRA Registration
Investors Capital Corp. Discloses 22 Regulatory Issues-Withdraws FINRA Registration 150 150 Robert Rex, Esq.

UPDATE APRIL 2018-In December 2017, Investors Capital Corp. was hit with another FINRA regulatory sanction involving mutual funds. The firm was censured and agreed to pay $437,674 in restitution to…

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  • Robert Rex, Esq.

Barrett & Company Ordered to Pay Former Customers Over $267K by Arbitration Panel
Barrett & Company Ordered to Pay Former Customers Over $267K by Arbitration Panel 150 150 Robert Rex, Esq.

Providence, Rhode Island A Financial Industry Regulatory Authority (FINRA) arbitration panel ordered brokerage firm Barrett & Company  and two of its brokers, Wilson Gordon Saville and Charles Edward White, to…

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