• Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Spartan Capital Securities and Aegis Capital Formerly a Broker Michael Venturino
Rex Securities Law Investment Fraud Attorney Investigates Spartan Capital Securities and Aegis Capital Formerly a Broker Michael Venturino 150 150 Robert Rex, Esq.

Last Updated: September 2025 — Garden City, NY Here’s what you need to know about Garden City, NY stockbroker Michael Venturino Name: Michael Christopher Venturino. Current Employer: None—this broker is not currently registered with…

read more
  • Robert Rex, Esq.

Roger Kroeger-Former Invest Financial Broker-Discloses Criminal Suit & Termination-Ft. Lauderdale, FL
Roger Kroeger-Former Invest Financial Broker-Discloses Criminal Suit & Termination-Ft. Lauderdale, FL 150 150 Robert Rex, Esq.

January 2019- Ft. Lauderdale, FL According to publicly available records Roger Kroeger, (CRD# 1526864) ,  a  previously registered stockbroker who was last employed by Invest Financial Corporation, disclose a regulatory event,…

read more
  • Robert Rex, Esq.

Matt Streif-UBS Financial Broker-Discloses $350K Customer Settlement-Austin,TX
Matt Streif-UBS Financial Broker-Discloses $350K Customer Settlement-Austin,TX 150 150 Robert Rex, Esq.

January 2019, Austin, TX According to publicly available records  Matthew T. Streif, a stockbroker registered with UBS Financial Services , discloses a customer dispute that was resolved by a  cash settlement…

read more
  • Robert Rex, Esq.

Justin Montandon-Ameriprise Broker-Discloses Regulatory Event and 2 Customer Disputes-Austin, TX
Justin Montandon-Ameriprise Broker-Discloses Regulatory Event and 2 Customer Disputes-Austin, TX 150 150 Robert Rex, Esq.

January  2019 – Austin, TX According to public records of Justin  A. Montandon  (CRD#4455879)  a  stockbroker employed by Ameriprise Financial Services, Inc., discloses a regulatory event, a customer dispute settlement. The…

read more
  • Robert Rex, Esq.

Omar Richardson-Charles Schwab Broker-Discloses Pending Customer Suit-Austin, TX
Omar Richardson-Charles Schwab Broker-Discloses Pending Customer Suit-Austin, TX 150 150 Robert Rex, Esq.

January 2019 – Austin, TX According to publicly available records  Omar Charles Richardson , a stockbroker who is currently registered with  Charles Schwab & Co., Inc., discloses  a pending customer dispute The…

read more
  • Robert Rex, Esq.

Daniel Davila, III- Purshe Kaplan Sterling Broker-Discloses Customer Suit Over REIT Investments-Austin, TX
Daniel Davila, III- Purshe Kaplan Sterling Broker-Discloses Customer Suit Over REIT Investments-Austin, TX 150 150 Robert Rex, Esq.

January  2019-Austin, TX According to public records of Daniel Davila, III (CRD#1686004)  a  stockbroker employed by Purshe Kaplan Sterling Investments, discloses the recent resolution of a customer suit. The Financial Industry Regulatory…

read more
  • Robert Rex, Esq.

Doug Maurer-Ascendant Alternative Strategies Broker-Discloses $5.975 Million Settlement-Laguna Niguel, CA 
Doug Maurer-Ascendant Alternative Strategies Broker-Discloses $5.975 Million Settlement-Laguna Niguel, CA  150 150 Robert Rex, Esq.

November 2020, Laguna Niguel, CA According to publicly available records  Aaron Douglas (Doug) Maurer , a stockbroker previoiusly registered with Ascendant Alternative Strategies & RP Capital , discloses a prior customer…

read more
  • Robert Rex, Esq.

Kris Gaudet-Former Ameritas Broker-Discloses Fraud Investigation & Termination-Cut Off, LA
Kris Gaudet-Former Ameritas Broker-Discloses Fraud Investigation & Termination-Cut Off, LA 150 150 Robert Rex, Esq.

October 2019- Cut Off, LA According to publicly available records  Kristian “Kris” M. Gaudet , a former stockbroker who  was registered with Ameritas Investment Corp., discloses a recent regulatory event resulting…

read more
  • Robert Rex, Esq.

Travis Hughes of Hughes Financial Group-Discloses Numerous Customer Suits-El Paso, TX
Travis Hughes of Hughes Financial Group-Discloses Numerous Customer Suits-El Paso, TX 150 150 Robert Rex, Esq.

  Link to March 2024 UPDATE January 2019-El Paso, Texas According to publicly available records   Travis Jerome Hughes , a  stockbroker who is currently registered with Cetera Advisors  disclose a currently pending customer…

read more
  • Robert Rex, Esq.

Ian Greenblatt-Capitol Securities Management Broker-Discloses Regulatory Suspension and Settlement of Customer Dispute-Melville, NY
Ian Greenblatt-Capitol Securities Management Broker-Discloses Regulatory Suspension and Settlement of Customer Dispute-Melville, NY 150 150 Robert Rex, Esq.

December 2018-Melville, New York According to publicly available records   Ian Greenblatt (aka Eric Green)  , a  stockbroker who is currently registered with Capitol Securities Management Inc.  disclose a recent regulatory suspension & fine…

read more
Enter your
text here

You cannot copy content of this page