Municipal Bonds

  • Robert Rex, Esq.

Adam Goodman-Stoever Glass & Co. Broker-Sued for $500K-Boca Raton, FL
Adam Goodman-Stoever Glass & Co. Broker-Sued for $500K-Boca Raton, FL 150 150 Robert Rex, Esq.

April 2021- Boca Raton, FL The FINRA records of  Adam C. Goodman ,  a  registered stock broker who recently left Herbert J. Sims to join Stoever, Glass & Co. ,  disclose  2 pending customer…

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  • Robert Rex, Esq.

San Antonio Based Investment Professionals Inc. Sanctioned for Unsuitable Advice
San Antonio Based Investment Professionals Inc. Sanctioned for Unsuitable Advice 150 150 Robert Rex, Esq.

October 2017-San Antonio, Texas San Antonio, Texas, based stock brokerage firm Investment Professionals, Inc.  (IPI)  recently was ordered by William F. Galvin of the Massachusetts Securities Division to pay a $100,000 fine…

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  • Robert Rex, Esq.

Northeast Securities Ordered to Pay Former Customer $1.8 Million-Mitchelfield, NY
Northeast Securities Ordered to Pay Former Customer $1.8 Million-Mitchelfield, NY 150 150 Robert Rex, Esq.

July 2017-New York An arbitration panel of the Financial Industry Regulatory Authority (FINRA) ordered Northeast Securities, Inc. a broker dealer headquartered in  Mitchelfield , NY, and three of their brokers…

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  • Robert Rex, Esq.

James K. Pheney-WFG Investments, Inc. Broker-Discloses Pending Customer Dispute-Castle Rock, CO.
James K. Pheney-WFG Investments, Inc. Broker-Discloses Pending Customer Dispute-Castle Rock, CO. 150 150 Robert Rex, Esq.

July  2017- Castle Rock, CO According to publicly available records James K. Pheney  (CRD#1272932) ,  a  stockbroker who currently is employed by WFG (Williams Financial Group) Investments, Inc. ,  disclose a pending customer dispute.…

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  • Robert Rex, Esq.

Merrill Lynch Fined $7M Over Leveraged Management Account Inadequacies
Merrill Lynch Fined $7M Over Leveraged Management Account Inadequacies 150 150 Robert Rex, Esq.

November 2016- New York Merrill Lynch was fined $7 million by the Financial Industry Regulatory Authority (FINRA) for inadequately supervising the use of leverage (margin) in customer accounts. Merrill Loan…

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  • Robert Rex, Esq.

Further Lane Securities Named In Regulatory Complaint for Excessive Markups on Bonds
Further Lane Securities Named In Regulatory Complaint for Excessive Markups on Bonds 150 150 Robert Rex, Esq.

July 2016-New York The FINRA records of Further Lane Securities, L.P. ,  disclose a currently pending regulatory event and 2 prior regulatory events. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers…

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  • Robert Rex, Esq.

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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  • Robert Rex, Esq.

Dougherty & Company Assessed $250K Fine for Failure to Perform Due Diligence
Dougherty & Company Assessed $250K Fine for Failure to Perform Due Diligence 150 150 Robert Rex, Esq.

June 18, 2015 Dougherty & Company, a broker dealer and investment adviser with its principal office located in Minneapolis, Minnesota,  consented to the entry of an Order Instituting Administrative and…

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  • Robert Rex, Esq.

Newbridge Securities Fined by Regulators for Supervision Deficiencies
Newbridge Securities Fined by Regulators for Supervision Deficiencies 150 150 Robert Rex, Esq.

June 10, 2015 Newbridge Securities  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that the firm’s supervisory system did…

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