• 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…

read more
  • Robert Rex, Esq.

John Loughran-UBS Financial Broker-Discloses $500K Pending Customer Dispute-NYC
John Loughran-UBS Financial Broker-Discloses $500K Pending Customer Dispute-NYC 150 150 Robert Rex, Esq.

April 2021- New York, NY According to publicly available records,   UBS Financial Services financial advisor John Loughran,  discloses a pending customer dispute and a prior settled customer dispute. The Financial Industry…

read more
  • Robert Rex, Esq.

David Fenning-Morgan Stanley Broker-Discloses Settled 4 Customer Disputes and 1 Pending Customer Dispute-NY, NY
David Fenning-Morgan Stanley Broker-Discloses Settled 4 Customer Disputes and 1 Pending Customer Dispute-NY, NY 150 150 Robert Rex, Esq.

April 2021- New York, NY According to publicly available records David W. Fenning (CRD#1005307), a stockbroker who works for Morgan Stanley Smith Barney  discloses 4 settled customer disputes and 1…

read more
  • Robert Rex, Esq.

Forouzan Pooladi-Former JP Morgan Broker-Barred from FINRA-Great Neck, NY
Forouzan Pooladi-Former JP Morgan Broker-Barred from FINRA-Great Neck, NY 150 150 Robert Rex, Esq.

April 2021-Great Neck, NY According to publicly available records, former JP Morgan Securities,  financial advisor Forouzan Pooladi,  has been barred from the securities industry. The Financial Industry Regulatory Authority (FINRA) is the…

read more
  • Robert Rex, Esq.

Steven Harris-Former Transamerica Financial Broker-Barred from FINRA- Burr Ridge, IL
Steven Harris-Former Transamerica Financial Broker-Barred from FINRA- Burr Ridge, IL 150 150 Robert Rex, Esq.

April 2021- Burr Ridge, IL According to publicly available records, former Transamerica Financial Advisors, Inc.  financial advisor Steven Harris, discloses two regulatory events, a termination and has been barred from the…

read more
  • Robert Rex, Esq.

Sylvester Knox-Former FSC Securities Broker-Discloses Regulatory Events, Customer Settlements of nearly $3.7M- Short Hills, NJ
Sylvester Knox-Former FSC Securities Broker-Discloses Regulatory Events, Customer Settlements of nearly $3.7M- Short Hills, NJ 150 150 Robert Rex, Esq.

April 2021- Short Hills, NJ According to his FINRA record  Sylvester Knox a financial advisor previously employed by FSC Securities Corporation discloses 4 regulatory events, 25 customer disputes and a…

read more
  • Robert Rex, Esq.

Jerry Wells-Former Sagepoint Securities Broker-Discloses Customer Disputes & Regulatory Event-Rochester, NY
Jerry Wells-Former Sagepoint Securities Broker-Discloses Customer Disputes & Regulatory Event-Rochester, NY 150 150 Robert Rex, Esq.

April 2021- Rochester, NY According to publicly available records Jerry Michael Wells (CRD#1015358), a stockbroker previously registered with Sagepoint Financial,  discloses a regulatory event,  4 final customer disputes and a…

read more
  • Robert Rex, Esq.

Matthew Nekuza-Former Charles Schwab Broker -Permanently Barred From Securities Industry- Fort Worth, TX
Matthew Nekuza-Former Charles Schwab Broker -Permanently Barred From Securities Industry- Fort Worth, TX 150 150 Robert Rex, Esq.

February 2021 – Fort Worth, TX According to publicly available records  Matthew B. Nekuza (CRD#6332114), a  former stockbroker who last worked for Charles Schwab & Co. Inc.,  has been permanently barred…

read more
  • Robert Rex, Esq.

Triad Advisors to Pay $194,000 in Fines and Restitution for Allowing Churning of Accounts
Triad Advisors to Pay $194,000 in Fines and Restitution for Allowing Churning of Accounts 150 150 Robert Rex, Esq.

February 2020-Norcross, GA FINRA reports that Triad Advisors,LLC,  a national, independent broker-dealer and multi-custodial SEC-Registered Investment Advisor, headquartered in Atlanta, has been fined and ordered to pay restitution to customers…

read more
  • Robert Rex, Esq.

Christopher “Cubby” Bice -Sagepoint Financial Broker-Discloses 3 Pending Customer Disputes and a Termination- Phoenix, AZ
Christopher “Cubby” Bice -Sagepoint Financial Broker-Discloses 3 Pending Customer Disputes and a Termination- Phoenix, AZ 150 150 Robert Rex, Esq.

April 2021- Phoenix, AZ According to publicly available records Christopher  R. “Cubby” Bice (CRD#3222439), a stockbroker employed with Sagepoint Financial, Inc.  discloses three pending customer disputes and a termination from…

read more
Enter your
text here

You cannot copy content of this page