• Robert Rex, Esq.

Michael Donnelly Investigation-Coastal Equities Broker Admits Theft From Elderly Clients
Michael Donnelly Investigation-Coastal Equities Broker Admits Theft From Elderly Clients 150 150 Robert Rex, Esq.

October 19, 2015 Former Coastal Equities broker Michael Donnelly of Lecanto, Florida, admitting defrauding his clients and to disgorge over $2.2 million. In addition he consented to an SEC order…

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  • Robert Rex, Esq.

Dwarka Persaud-Former Buckman Buckman & Reid Broker-Discloses Regulatory Suspension/Customer Disputes/ Bankruptcy Filing-Plainfield, NJ
Dwarka Persaud-Former Buckman Buckman & Reid Broker-Discloses Regulatory Suspension/Customer Disputes/ Bankruptcy Filing-Plainfield, NJ 150 150 Robert Rex, Esq.

UPDATE OCTOBER 2017–Dwarka Persaud Suspended-In August 2017 FINRA suspended Persaud for 18 months to resolve allegations that he violated the terms of a heightened supervision agreement which he and his…

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  • Robert Rex, Esq.

Aldo Marchena-Former Northeast Securities Broker-Discloses Settlement of Customer Disputes
Aldo Marchena-Former Northeast Securities Broker-Discloses Settlement of Customer Disputes 150 150 Robert Rex, Esq.

UPDATE December 2016–Aldo Marchena discloses two customer disputes on his FINRA record.  FINRA Case 16-1918-in which a customer of Northeast Securities alleges damages of $75,000 for breach of fiduciary duty by…

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  • Robert Rex, Esq.

Jose Canales-El Paso Insurance Agent/Stockbroker-Barred from Securities Industry
Jose Canales-El Paso Insurance Agent/Stockbroker-Barred from Securities Industry 150 150 Robert Rex, Esq.

August 20, 2014- El Paso, Texas Jose M. Canales , a broker with Lincoln Financial Securities Corporation, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Thomas M. Hakim-G.A. Repple Broker-Discloses Numerous Outstanding Tax Liens-Macomb, MI
Thomas M. Hakim-G.A. Repple Broker-Discloses Numerous Outstanding Tax Liens-Macomb, MI 150 150 Robert Rex, Esq.

March 28, 2016-Macomb, Michigan According to FINRA records, financial advisor Thomas M. Hakim , who has been registered with  G.A. Repple & Co. since March 2014, currently has 18 outstanding judgments…

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  • Robert Rex, Esq.

Christopher Veale Investigation-Numerous Customer Complaint & Regulatory Issues
Christopher Veale Investigation-Numerous Customer Complaint & Regulatory Issues 150 150 Robert Rex, Esq.

FINRA records report that Christopher F. Veale , of New York,  who is not currently registered, is currently  named in a customer dispute: FINRA Case 15-00373-customer alleges breach of fiduciary duty by Veale while…

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  • Robert Rex, Esq.

Richard Gomez Investigation-Former Legend Securities Broker
Richard Gomez Investigation-Former Legend Securities Broker 150 150 Robert Rex, Esq.

FINRA records report that Richard Gomez , of New York,  who is not currently registered, is currently  named in two customer disputes: FINRA Case 16-0035 filed by a Florida resident against Gomez while he…

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  • Robert Rex, Esq.

John Cangialosi -Worden Capital Management Broker-Discloses Customer Dispute Alleging Churning-New York
John Cangialosi -Worden Capital Management Broker-Discloses Customer Dispute Alleging Churning-New York 150 150 Robert Rex, Esq.

September 2019-New York FINRA records disclose that John S. Cangialosi, who is currently registered with Worden Capital Management, has two prior regulatory events, a currently pending customer dispute, 7 prior customer…

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  • Robert Rex, Esq.

Daren Dorval Investigation-Legend Securities Broker
Daren Dorval Investigation-Legend Securities Broker 150 150 Robert Rex, Esq.

FINRA records report that Daren Dorval, who has been registered with Legend Securities since 9/2009, is named in a 3 currently pending arbitrations: FINRA Case 15-802 filed by a Florida…

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