• Robert Rex, Esq.

Antonio Costanzo-Former Newport Coast Securities Broker-Discloses Churning Complaint-Industry Bar
Antonio Costanzo-Former Newport Coast Securities Broker-Discloses Churning Complaint-Industry Bar 150 150 Robert Rex, Esq.

July 2016-Chesapeake, VA The FINRA records of Antonio Costanzo  , a former stock broker who was last employed by  TItus Rockefeller  , disclose a pending regulatory event, a prior final regulatory event, 8 prior customer disputes and a termination…

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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.

Rushton L. Ardrey-Former Newport Coast Securities Broker-Discloses Customer Disputes
Rushton L. Ardrey-Former Newport Coast Securities Broker-Discloses Customer Disputes 150 150 Robert Rex, Esq.

July 2016-Boston, MA The FINRA records of Rushton L. Ardrey, III  , a former stock broker employed by  Newport Coast Securities  , disclose 3 prior final regulatory events, a prior customer dispute, 3 currently pending customer disputes and…

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  • Robert Rex, Esq.

Stuart Horowitz-Former Securities America Broker-Discloses 37 Customer Disputes
Stuart Horowitz-Former Securities America Broker-Discloses 37 Customer Disputes 150 150 Robert Rex, Esq.

July 2016-Coral Springs, Florida The FINRA records of Stuart Horowitz  , a former stock broker employed by  Securities America  , disclose a prior final regulatory event, 33 prior customer disputes, 4 currently pending customer disputes and a…

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  • Robert Rex, Esq.

Bahram Mirhashemi-Former Accelerated Capital Group Broker-Discharged & Barred from Securities Industry
Bahram Mirhashemi-Former Accelerated Capital Group Broker-Discharged & Barred from Securities Industry 150 150 Robert Rex, Esq.

July 2016 The FINRA records of Bahram Mirhashemi  , a stock broker who formerly was employed by Accelerated Capital Group  , disclose 2 prior final regulatory events,  a currently pending regulatory event, 5 currently  pending customer disputes, a prior final customer…

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  • Robert Rex, Esq.

Jeffrey Smith-Former Accelerated Capital Group Broker-Discloses $750K Customer Arbitration
Jeffrey Smith-Former Accelerated Capital Group Broker-Discloses $750K Customer Arbitration 150 150 Robert Rex, Esq.

UPDATE SEPTEMBER 2017–Jeffrey A. Smith, without admitting or denying the findings, consented to sanctions of a $5,000 fine and a three month suspension from 9/5/2017-12/4/2017, to resolve allegations that he…

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  • Robert Rex, Esq.

Janet Ross, CCO of Accelerated Capital Group, Named in 3 Customer Arbitrations
Janet Ross, CCO of Accelerated Capital Group, Named in 3 Customer Arbitrations 150 150 Robert Rex, Esq.

July 2016- The FINRA records of Janet Ross  , Chief Compliance Officer of Accelerated Capital Group  , disclose 3  pending customer disputes. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms.…

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  • Robert Rex, Esq.

Dion R. Padilla-NEXT Financial Group Broker-Sanctioned Over Annuity Sales
Dion R. Padilla-NEXT Financial Group Broker-Sanctioned Over Annuity Sales 150 150 Robert Rex, Esq.

May 2019 UPDATE- Dion Padilla/ AT&T Retirement Account investigation. See this for details.   ORIGINAL POST-July 2016- San Antonio, Texas The FINRA records of Dion R. Padilla  , a stock broker currently employed by NEXT…

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