• Robert Rex, Esq.

Jason B. Vanclef-VFG Securities-Named In Regulatory Investigation Over REIT Sales
Jason B. Vanclef-VFG Securities-Named In Regulatory Investigation Over REIT Sales 150 150 Robert Rex, Esq.

Culver CIty, CA According to FINRA records, Jason B. Vanclef,  a broker who is  registered  with VFG Securities  , discloses that he is named in a FINRA complaint alleging that in connection with…

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  • Robert Rex, Esq.

Ralph “Brud” Worthington-Formerly with Gilford Securities- Named in Customer Arbitration
Ralph “Brud” Worthington-Formerly with Gilford Securities- Named in Customer Arbitration 150 150 Robert Rex, Esq.

New York According to FINRA records, Ralph  (Brud) Worthington IV, a broker who formerly worked for Gilford Securities , discloses 7 customer disputes, 6 of which have been finalized and one of…

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  • Robert Rex, Esq.

Pranav Patel-Former Dawson James Broker-Indicted for Securities Fraud-Boca Raton
Pranav Patel-Former Dawson James Broker-Indicted for Securities Fraud-Boca Raton 150 150 Robert Rex, Esq.

UPDATE June 2016–Pranav Patel named in civil action seeking damages related to sale of ForceField Energy, Inc. Follow this link for more information.  May 2016-Boca Raton, FL The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Nathaniel R. Clay-Former National Securities Corp Broker-Named in Customer Arbitration
Nathaniel R. Clay-Former National Securities Corp Broker-Named in Customer Arbitration 150 150 Robert Rex, Esq.

Updated January 2019-New York According to FINRA records,  Nathaniel Royce Clay , a broker with Laidlaw & Company, discloses a pending customer dispute, 5 prior customer disputes, a termination from employment and…

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  • Robert Rex, Esq.

Patrick H. Maddren-Former Dawson James Broker-Discloses Settlment of $1M Customer Dispute
Patrick H. Maddren-Former Dawson James Broker-Discloses Settlment of $1M Customer Dispute 150 150 Robert Rex, Esq.

UPDATE FEBRUARY 2017-FINRA records disclose that arbitration 16-00849, discussed below, was settled for a payment $295,000 by Dawson James Securities. ORIGINAL POST-May 2016-Ft. Lauderdale, FL The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Joseph M. Fedorko-Laidlaw & Co. Broker-Named in Customer Disputes
Joseph M. Fedorko-Laidlaw & Co. Broker-Named in Customer Disputes 150 150 Robert Rex, Esq.

February 2019-Stamford , CT The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints…

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  • Robert Rex, Esq.

Shahbul A. Molla Named in Customer Arbitration-Spartan Capital Securities Broker
Shahbul A. Molla Named in Customer Arbitration-Spartan Capital Securities Broker 150 150 Robert Rex, Esq.

May 2016 The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes…

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  • Robert Rex, Esq.

Jason M. Santini Named in Customer Arbitration-Blackbook Capital, LLC. Broker
Jason M. Santini Named in Customer Arbitration-Blackbook Capital, LLC. Broker 150 150 Robert Rex, Esq.

APRIL 2017 UPDATE-In November 2016 a customer of Spartan Capital filed FINRA arbitration 16-3109 alleging damages of $27,376 for overconcentration, unauthorized use of margin and negligence. ORIGINAL POST -May 2016…

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