• Robert Rex, Esq.

Douglas Lee-Former Worden Capital Management Broker-Discloses Customer Disputes-Garden City, NY
Douglas Lee-Former Worden Capital Management Broker-Discloses Customer Disputes-Garden City, NY 150 150 Robert Rex, Esq.

November 2019 – Garden City, NY The FINRA records of Douglas Lee , a stockbroker who was last employed by  Worden Capital Management , disclose a pending customer dispute and  3 prior customer disputes. The…

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  • Robert Rex, Esq.

Bradley Mascho-Former Western International Securities Broker- Charged with Securities Fraud- Frederick, MD
Bradley Mascho-Former Western International Securities Broker- Charged with Securities Fraud- Frederick, MD 150 150 Robert Rex, Esq.

November 2019 – Frederick, MD The FINRA records of Bradley Mascho  , a currently unregistered stockbroker who was last employed by  Western International Securities, discloses 2 regulatory events , a criminal event, a civil event,…

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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.

Texas Regulators Revoke Gus Marwieh’s Securities Registration-Austin, TX
Texas Regulators Revoke Gus Marwieh’s Securities Registration-Austin, TX 150 150 Robert Rex, Esq.

October 2019 – Austin, Texas  Texas Securities Commissioner, Travis Iles, revoked the registration of  Gus Marwieh  for fraud related to the sale of pension investments, according to a news release…

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  • Robert Rex, Esq.

Shawn B. Davis-Former Independent Financial Group Broker-Discloses 6 Pending Customer Disputes And A Prior Customer Dispute – Auburn, CA
Shawn B. Davis-Former Independent Financial Group Broker-Discloses 6 Pending Customer Disputes And A Prior Customer Dispute – Auburn, CA 150 150 Robert Rex, Esq.

October 2019 – Auburn, CA The FINRA records of Shawn Bruce Davis  , a stockbroker who was last employed by  Independent Financial Group , disclose 6 pending customer disputes and  2 prior customer disputes. The Financial…

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  • Robert Rex, Esq.

Allan Montalbano-Former Worden Capital Broker- Discloses 14 Customer Disputes- Westbury, NY
Allan Montalbano-Former Worden Capital Broker- Discloses 14 Customer Disputes- Westbury, NY 150 150 Robert Rex, Esq.

October 2019- Westbury, NY According to publicly available records Allan P Montalbano (CRD#4507029) ,  a  stockbroker who is not currently registered  and who was last registered with Worden Capital Management ,…

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  • Robert Rex, Esq.

Albert Foronda- Spartan Capital Securities Broker- Discloses Customer Disputes- NYC
Albert Foronda- Spartan Capital Securities Broker- Discloses Customer Disputes- NYC 150 150 Robert Rex, Esq.

October 2019- NYC, NY According to publicly available records Albert Foronda.   (CRD#5737620 ,  a  stockbroker  currently registered  with Spartan Capital Securities,  disclose a prior customer dispute and 2 pending customer dispute.…

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  • Robert Rex, Esq.

Nicholas Schiano- Spartan Capital Securities Broker-Discloses Two Customer Disputes-New York, NY
Nicholas Schiano- Spartan Capital Securities Broker-Discloses Two Customer Disputes-New York, NY 150 150 Robert Rex, Esq.

October 2019, New York, NY According to publicly available records Nicholas James Schiano (CRD#4429212) ,  a  stockbroker who currently is employed by Spartan Capital Securities,   discloses 1  prior customer dispute and…

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  • Robert Rex, Esq.

Yvonne L. Silguero-LPL Financial Broker-Subject of $500K Customer Suit-McAllen, TX
Yvonne L. Silguero-LPL Financial Broker-Subject of $500K Customer Suit-McAllen, TX 150 150 Robert Rex, Esq.

January 2020-McAllen & Brownsville,  TX  According to publicly available records Yvonne L. Silguero (CRD#4895654) ,  a  stockbroker  who works for LPL FInancial discloses 2 pending customer disputes. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

John Dunn Gordinier – Broker With J.J.B. Hilliard, W.L. Lyons – Discloses $100K Settlement of Customer Suit- Louisville, KY
John Dunn Gordinier – Broker With J.J.B. Hilliard, W.L. Lyons – Discloses $100K Settlement of Customer Suit- Louisville, KY 150 150 Robert Rex, Esq.

October 2019- Louisville, KY According to publicly available records John Dunn Gordinier (CRD#2363965) ,  a  stockbroker  currently registered with J.J.B. Hilliard, W.L. Lyons  discloses a  recently settled customer dispute involving energy investments.…

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