• Robert Rex, Esq.

Nicholas Parisi-Former Aegis Capital Broker-Discloses Customer Dispute & Outstanding Liens
Nicholas Parisi-Former Aegis Capital Broker-Discloses Customer Dispute & Outstanding Liens 150 150 Robert Rex, Esq.

April 2019-New York The FINRA records of Nicholas Parisi ,  a  stock broker who is currently  unlicensed and who was most recently employed  by Aegis Capital Corp.  , disclose a settled customer dispute and 2 outstanding…

read more
  • Robert Rex, Esq.

James B. Schwartz-Former Aegis Capital Broker-Barred for Churning Customer Accounts-New York
James B. Schwartz-Former Aegis Capital Broker-Barred for Churning Customer Accounts-New York 150 150 Robert Rex, Esq.

April 2019-Garden City, New York The FINRA records of James B. Schwartz ,  a  former stock broker  who worked for Aegis Capital from 8/2013-6/2016 and was last employed  by Joseph Gunnar & Co.  , disclose  that…

read more
  • Robert Rex, Esq.

Steven R. Luftschein-Aegis Capital Broker-Discloses $2M Customer Dispute
Steven R. Luftschein-Aegis Capital Broker-Discloses $2M Customer Dispute 150 150 Robert Rex, Esq.

July 2016-Melville, New York The FINRA records of Steven R. Luftschein ,  a  stock broker currently employed  by Aegis Capital Corp. , disclose a pending customer dispute and 11 prior final customer disputes. The Financial Industry Regulatory…

read more
  • 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…

read more
  • Robert Rex, Esq.

Johnathan W. McHale-Former PHX Financial Broker-Makes Numersous Diclosures On FINRA Record
Johnathan W. McHale-Former PHX Financial Broker-Makes Numersous Diclosures On FINRA Record 150 150 Robert Rex, Esq.

New York According to FINRA records,  Johnathan W. McHale ,   a stock broker  formerly employed by PHX Financial , discloses seven final customer disputes, a termination and 7 pending judgment/liens. The Financial Industry Regulatory Authority (FINRA) is the agency…

read more
  • Robert Rex, Esq.

Christopher Veale–Former Legend Securities Broker Sanctioned by Regulator
Christopher Veale–Former Legend Securities Broker Sanctioned by Regulator 150 150 Robert Rex, Esq.

UPDATE March 28, 2016- Christopher Veale‘s FINRA record reports 11 prior customer complaints that have been resolved and one pending dispute. See this for more.  August18, 2015, Christopher Frederic Veale ,…

read more
Enter your
text here

You cannot copy content of this page