• Robert Rex, Esq.

Gerard Figari of Loyd Capital Performance Partners -Discloses Settlement of Customer Disputes-Stuart, FL
Gerard Figari of Loyd Capital Performance Partners -Discloses Settlement of Customer Disputes-Stuart, FL 150 150 Robert Rex, Esq.

April 2017- Stuart, FL According to publicly available records Gerard G. Figari, (CRD#1343962) ,  a  stockbroker who was previously registered with Investors Capital Corp. discloses 5 prior customer disputes. The Financial Industry Regulatory Authority (FINRA) is…

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  • Robert Rex, Esq.

Kent Argue – Former Investors Capital Broker- Discloses Customer Dispute – TULSA, OK
Kent Argue – Former Investors Capital Broker- Discloses Customer Dispute – TULSA, OK 150 150 Robert Rex, Esq.

April 2017- Tulsa, OK According to publicly available records Kent L. Argue, (CRD#4482886) ,  a  stockbroker who is currently not registered  and was previously registered with Investors Capital Corp. discloses a settled customer dispute. The…

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  • Robert Rex, Esq.

Daniel Vasquez, Sr. – Former Investor’s Capital Broker – Discloses Customer Disputes & Regulatory Event – Irvine, CA
Daniel Vasquez, Sr. – Former Investor’s Capital Broker – Discloses Customer Disputes & Regulatory Event – Irvine, CA 150 150 Robert Rex, Esq.

April 2017-Irvine, CA  According to publicly available records Daniel Vasquez, Sr. , (CRD#3141463) ,  a  stockbroker who is currently not registered, but previously worked for Cetera Advisors and Investors Capital Corp ,  discloses two final regulatory…

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  • Robert Rex, Esq.

Roger Zajicek- Investors Capital Corp. Broker- Discloses Settlement of Customer Dispute – Lincoln, NE
Roger Zajicek- Investors Capital Corp. Broker- Discloses Settlement of Customer Dispute – Lincoln, NE 150 150 Robert Rex, Esq.

April 2017- Lincoln, NE The FINRA records of  Roger Zajicek  (CRD#862710) a stockbroker with Investors Capital Corp.,  discloses one pending and four prior final  customer disputes. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and…

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  • Robert Rex, Esq.

Tony Morris-Former Investors Capital Corp. Broker-Discloses Customer Dispute-El Paso, Texas
Tony Morris-Former Investors Capital Corp. Broker-Discloses Customer Dispute-El Paso, Texas 150 150 Robert Rex, Esq.

March 2019- El Paso, Texas According to publicly available records Anthony  “Tony” R. Morris , (CRD# 2849581) ,  a  stockbroker who previously worked for Investors Capital Corp and who is currently employed by Lincoln…

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  • Robert Rex, Esq.

Robert Estevez, Former Investors Capital Corp Broker-Discloses Regulatory Matters-NY
Robert Estevez, Former Investors Capital Corp Broker-Discloses Regulatory Matters-NY 150 150 Robert Rex, Esq.

March 2017- New York According to publicly available records Robert Estevez , (CRD# 3161419) ,  a  stockbroker who previously worked for Investors Capital Corp and who is currently employed by Joseph Gunnar &…

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  • Robert Rex, Esq.

Larry Stohs-Former Edward Jones Broker-Discloses Termination
Larry Stohs-Former Edward Jones Broker-Discloses Termination 150 150 Robert Rex, Esq.

January 2017-Columbia, South Carolina The FINRA records of  Larry A. Stohs,  a  former stockbroker with Edward Jones disclose a termination from employment and two prior customer disputes. The Financial Industry Regulatory Authority (FINRA) is the…

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  • Robert Rex, Esq.

Investors Capital Corp.-How to Recover Damages For Investment Losses
Investors Capital Corp.-How to Recover Damages For Investment Losses 150 150 Robert Rex, Esq.

November 2016- Lynnfield, MA Investors Capital Corp.  will be closing down and transferring some of its brokers and current clients to another firm within the Cetera network of broker dealers, according…

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  • Robert Rex, Esq.

NEXT Financial Group Settles Tenant in Common Case
NEXT Financial Group Settles Tenant in Common Case 150 150 Robert Rex, Esq.

October 2016 Next Financial Group, Inc. , a stock brokerage firm headquartered in Houston, Texas, recently settled a claim brought by a customer alleging damages of $4,000,000 for breach of…

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  • Robert Rex, Esq.

Investors Capital Corporation Fined $250,000 by Securities Regulators
Investors Capital Corporation Fined $250,000 by Securities Regulators 150 150 Robert Rex, Esq.

October 2014 The FINRA records of  Investors Capital Corp.,  a  broker dealer headquartered in Lynnfield, MA,  that employs about 640 people in 313 branch offices nationwide, disclose a recent regulatory matter. The…

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