• Robert Rex, Esq.

John Torres-FormerJP Morgan Broker- Discloses Pending Customer Disputes- Northridge, CA
John Torres-FormerJP Morgan Broker- Discloses Pending Customer Disputes- Northridge, CA 150 150 Robert Rex, Esq.

January 2020 – Northridge, CA According to publicly available records John Luis Torres (CRD#6322231) ,  a  former stockbroker discloses a regulatory event resulting in his bar from the industry , 2 pending…

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  • Robert Rex, Esq.

Herbert “Elias” Hafen-Former Morgan Stanley Broker-Pleads Guilty to Fraud- New York, NY
Herbert “Elias” Hafen-Former Morgan Stanley Broker-Pleads Guilty to Fraud- New York, NY 150 150 Robert Rex, Esq.

November  2019- New York, NY The FINRA records of  Herbert “Elias” Hafen ,  a  financial advisor previously employed by  Morgan Stanley, disclose a prior regulatory event,  a pending criminal matter, a…

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  • Robert Rex, Esq.

Michael Giokas-Former Fortune Financial Services-Broker-Pleads Guilty to Fraud-Williamsville, NY
Michael Giokas-Former Fortune Financial Services-Broker-Pleads Guilty to Fraud-Williamsville, NY 150 150 Robert Rex, Esq.

September 2019- Williamsville, NY According to publicly available records  Michael Giokas (CRD# 1398674) ,  a  former stockbroker who was last  employed by Fortune Financial Services, Inc.,  disclose  2 prior regulatory events, a…

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  • Robert Rex, Esq.

Michael Bressman-Former FCG Advisors Broker- Pleads Guilty to Investment Advisor Fraud-Chatham, NJ
Michael Bressman-Former FCG Advisors Broker- Pleads Guilty to Investment Advisor Fraud-Chatham, NJ 150 150 Robert Rex, Esq.

September 2019- Chatham, NJ According to publicly available records  Michael Bressman ,  a  currently unregistered stockbroker, who was last registered with FCG Advisors,  discloses a pending investigation, a pending civil event,…

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  • Robert Rex, Esq.

Luke M. Johnson-Former Coastal Equities Broker-Investigation Over GPB Auto Losses-Scottsdale, AZ
Luke M. Johnson-Former Coastal Equities Broker-Investigation Over GPB Auto Losses-Scottsdale, AZ 150 150 Robert Rex, Esq.

March 2020-Scottsdale, AZ We are investigating  former Coastal Equities Inc. broker Luke Michael Johnson on behalf of an Arizona resident who alleges that she was sold an unsuitable investment in…

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  • Robert Rex, Esq.

Renee Altamirano-Former LPL Broker-Discloses Regulatory Event and Termination-Hot Springs Village, AR
Renee Altamirano-Former LPL Broker-Discloses Regulatory Event and Termination-Hot Springs Village, AR 150 150 Robert Rex, Esq.

May 2019-Hot Springs Village, AR According to publicly available records Renee Valerie Altamirano (CRD#5644156) ,  a  stockbroker who is currently not registered,  discloses a regulatory event and a termination from employment.…

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  • Robert Rex, Esq.

Kyusun Kim-Former Independent Financial Group Broker-Barred from FINRA-Discloses 19 Settled Customer Suits- Greenville, SC
Kyusun Kim-Former Independent Financial Group Broker-Barred from FINRA-Discloses 19 Settled Customer Suits- Greenville, SC 150 150 Robert Rex, Esq.

June 2019- Greenville, SC According to publicly available records, former Independent Financial and Sandlapper Securities  financial advisor Kyusun Kim,  discloses 19 settled and 4 pending customer disputes  and a termination…

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  • Robert Rex, Esq.

Mark Tudor-Fired by Raymond James-Barred From Securities Industry-Lake Mary, FL
Mark Tudor-Fired by Raymond James-Barred From Securities Industry-Lake Mary, FL 150 150 Robert Rex, Esq.

May 2019, Lake Mary, Florida According to publicly available records Mark Andrew Tudor  ,  a  former stockbroker who last worked for Raymond James Financial  ,  disclose a recent regulatory event…

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