Sean W. Mollard-Former Dawson James Broker-Discloses $1M Customer Dispute

Sean W. Mollard-Former Dawson James Broker-Discloses $1M Customer Dispute 150 150 Robert Rex, Esq.

Boca Raton, Florida UPDATE APRIL 2017-FINRA records indicate that FINRA arbitration 16-0849, described below, was settled in February 2017 for $295,000. ORIGINAL POST JUNE 2016 According to FINRA records,  Sean W.…

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Ralph B. Marra-Former Morgan Stanley Broker-Discloses Two Pending Customer Disputes-Red Bank, NJ

Ralph B. Marra-Former Morgan Stanley Broker-Discloses Two Pending Customer Disputes-Red Bank, NJ 150 150 Robert Rex, Esq.

Red Bank, New Jersey UPDATE July 2016–FINRA records disclose that Ralph B. Marra has an outstanding Internal Revenue Service levy at the court in Freehold New Jersey, in the amount…

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Morgan Stanley Ordered By FINRA Panel to Pay $8.6 Million to Customer

Morgan Stanley Ordered By FINRA Panel to Pay $8.6 Million to Customer 150 150 Robert Rex, Esq.

Los Angeles, CA In an arbitration conducted by the Financial Industry Regulatory Authority (FINRA) Morgan Stanley was ordered to pay a retiree over $8.6 million in damages for unauthorized trading…

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Felix A. Bartolomei-Cuso Financial Services Broker-Discloses Pending Customer Disputes

Felix A. Bartolomei-Cuso Financial Services Broker-Discloses Pending Customer Disputes 150 150 Robert Rex, Esq.

Orlando, Florida According to FINRA records,  Felix Alberto Bartolomei ,   a stockbroker  employed by Cuso Financial Services , discloses  3 pending customer disputes and 2 final customer disputes. The Financial Industry Regulatory Authority (FINRA) is the agency…

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Greg Caldwell-Caldwell International Securities Broker-Discloses Regulatory Investigation

Greg Caldwell-Caldwell International Securities Broker-Discloses Regulatory Investigation 150 150 Robert Rex, Esq.

Austin, Texas OCTOBER 2017 UPDATE-Caldwell International Securities was expelled from the securities industry by FINRA January 2017. According to FINRA records,  Greg A. Caldwell,   a stockbroker who is currently  employed by Caldwell International…

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Lennie Freiman-Former Caldwell International Securities Broker-Discloses Regulatory Investigation

Lennie Freiman-Former Caldwell International Securities Broker-Discloses Regulatory Investigation 150 150 Robert Rex, Esq.

San Antonio, Texas According to FINRA records,  Lennie S. Freiman,   a stockbroker who most recently worked for Caldwell International Securities, but who is not currently registered with any firm,  discloses  a pending regulatory investigation and…

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John Billy Kakonikos-Former Southeast Investments Broker-Suspended Over Account Churning

John Billy Kakonikos-Former Southeast Investments Broker-Suspended Over Account Churning 150 150 Robert Rex, Esq.

East Meadow, New York UPDATE MAY 2017-In November 2016 John B. Kakonikos was suspended by FINRA for 18 months, fined $10,000 and ordered to pay restitution of $72,524 to resolve…

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Wayne Kirk-Former Reef Securities Broker-Discloses Settlement of Customer Dispute-Richardson,TX

Wayne Kirk-Former Reef Securities Broker-Discloses Settlement of Customer Dispute-Richardson,TX 150 150 Robert Rex, Esq.

MAY 2018 UPDATE–Wayne Kirk has not been registered as a stockbroker since leaving Reef Securities in 4/2017. FINRA Arbitration 16-0307, discussed below, was settled 2/2017 for $60,000. ORIGINAL POST JUNE…

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Terry W. Chilton-Former IMS Securities Broker-Discloses Regulatory Investigation/Customer Dispute

Terry W. Chilton-Former IMS Securities Broker-Discloses Regulatory Investigation/Customer Dispute 150 150 Robert Rex, Esq.

June 2016—-Beaumont, Texas According to FINRA records,  Terry W. Chilton ,   a stockbroker who formerly was employed by IMS Securities.   discloses  a pending regulatory investigation and a pending customer dispute. In June 2015, a FINRA…

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Robert M. Kuhn-Former UBS Broker-DIscloses Customer Dispute and Regulatory Matter-Plano, TX

Robert M. Kuhn-Former UBS Broker-DIscloses Customer Dispute and Regulatory Matter-Plano, TX 150 150 Robert Rex, Esq.

Plano, Texas According to FINRA records, Robert M. Kuhn ,  a stock broker who worked for UBS Financial Services from  9/2011-11/2015 discloses a regulatory matter that has been finalized , a pending customer dispute  and…

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