Florida Office of Financial Regulation

  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Gerald O’Halloran formerly with Kovack Securities
Rex Securities Law Investment Fraud Attorney Investigates Gerald O’Halloran formerly with Kovack Securities 150 150 Robert Rex, Esq.

Last Updated: November 2023 (Punta Gorda, FL) Gerald O’Halloran Investigation Summary Here’s what you need to know about Punta Gorda, FL, stockbroker Gerald O’Halloran: Name: Mr. Gerald James O’Halloran Current…

read more
  • Robert Rex, Esq.

Brian Decker-Former Worden Capital Mgmt Broker-Arrested for Securities Fraud-Staten Island
Brian Decker-Former Worden Capital Mgmt Broker-Arrested for Securities Fraud-Staten Island 150 150 Robert Rex, Esq.

November 2019 UPDATE -Staten Island In 95/2018 Decker was permanently barred from the industry by FINRA to resolve allegations that he failed to cooperate with a FINRA investigation. The Toledo…

read more
  • Robert Rex, Esq.

Athanasios Tomaras-Former Fulcrum Securities Broker-Discloses Suit Over Energy Investments-Oldsmar, FL
Athanasios Tomaras-Former Fulcrum Securities Broker-Discloses Suit Over Energy Investments-Oldsmar, FL 150 150 Robert Rex, Esq.

Oldsmar, Florida-April 2019 The FINRA records of  Athanasios Tomaras,  a  stockbroker who currently is employed by  R. F. Lafferty & Co.  disclose a prior regulatory event and 5 prior customer disputes. The Financial…

read more
  • Robert Rex, Esq.

Robert M. Dechick-D.H. Hill Securities Broker-Discloses Regulatory Sanction-Clermont, FL
Robert M. Dechick-D.H. Hill Securities Broker-Discloses Regulatory Sanction-Clermont, FL 150 150 Robert Rex, Esq.

June 2017- Clermont, Florida According to publicly available records Robert M. Dechick  (CRD#4152582) ,  a  stockbroker who currently is employed by  D.H. Hill Securities,   discloses  a recent regulatory event. The Financial Industry Regulatory…

read more
  • Robert Rex, Esq.

Revere Securities Sanctioned by Securities Regulators
Revere Securities Sanctioned by Securities Regulators 150 150 Robert Rex, Esq.

March 2017-New York According to publicly available records Revere Securities LLC , (CRD# 14178) ,  a  FINRA registered broker dealer headquartered in New York City, discloses a pending regulatory matter , 9 prior final…

read more
  • 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…

read more
  • Robert Rex, Esq.

David H. Fagenson-Former UBS Broker-Discloses Suspension, Termination and Customer Disputes-Palm Beach, FL
David H. Fagenson-Former UBS Broker-Discloses Suspension, Termination and Customer Disputes-Palm Beach, FL 150 150 Robert Rex, Esq.

December 2018-Palm Beach, FL According to publicly available records David H. Fagenson , (CRD# 1652012) ,  a  stockbroker who is currently registered with Newbridge Securities disclose a recent regulatory sanction, 2 pending customer disputes, 9…

read more
  • Robert Rex, Esq.

Athanasios Tomaras-Former Fulcrum Securities Broker-Discloses Suit Over Energy Investments-Oldsmar, FL
Athanasios Tomaras-Former Fulcrum Securities Broker-Discloses Suit Over Energy Investments-Oldsmar, FL 150 150 Robert Rex, Esq.

Oldsmar, Florida-UPDATE OCTOBER 2017-In October 2016 a customer of Fulcrum Securities file FINRA arbitration 16-02962 seeking damages of $189,000 and alleging that Mr. Tomaras made unsuitable investment recommendations in equities…

read more
  • Robert Rex, Esq.

GWN Securities Agrees to $20K Fine with Florida Securities Regulators
GWN Securities Agrees to $20K Fine with Florida Securities Regulators 150 150 Robert Rex, Esq.

July 2016- Palm Beach Gardens, FL The FINRA records of GWN Securities, Inc. ,  a  stock brokerage firm whose main office is located in Palm Beach Gardens, FL , disclose a recently finalized regulatory event. The Financial…

read more
  • Robert Rex, Esq.

Chazon Stein-Former Primex Stock Broker-Discloses Permanent Bar from Securities Industry-Boca Raton, FL
Chazon Stein-Former Primex Stock Broker-Discloses Permanent Bar from Securities Industry-Boca Raton, FL 150 150 Robert Rex, Esq.

July 2016-Boca Raton, Florida The FINRA records of Chazon Stein (also known as Chaz Stein, Chazoni Stein & Zoni Stein) , a  currently unlicensed stockbroker who last worked for  Primex , disclose a prior regulatory event and 2 prior…

read more
  • 1
  • 2
Enter your
text here

You cannot copy content of this page