• Robert Rex, Esq.

Thomas Meier – Former Morgan Stanley Broker- Discloses 14 Customer Disputes- Miami, FL
Thomas Meier – Former Morgan Stanley Broker- Discloses 14 Customer Disputes- Miami, FL 150 150 Robert Rex, Esq.

January 2020 – Miami, FL According to publicly available records Thomas Alan Meier  (CRD#1146044) ,  a  former stockbroker who was last registered with Morgan Stanley,  disclose a Regulatory Event and 14 prior customer disputes.…

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  • Robert Rex, Esq.

Scott D. Williams-Former LPL / Raymond James Broker- Discloses Termination For Discretionary Trading & Customer Suit for Churning- Franklin, TN
Scott D. Williams-Former LPL / Raymond James Broker- Discloses Termination For Discretionary Trading & Customer Suit for Churning- Franklin, TN 150 150 Robert Rex, Esq.

October 2020 – Franklin, TN The FINRA records of Scott Douglas Williams, who last worked for LPL Financial is not currently registered as a broker,  disclose  a pending customer dispute, 2 prior…

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  • Robert Rex, Esq.

Michael J. Pepe-Ameriprise Broker-Subject of $750,000 Customer Suit-Tampa, FL
Michael J. Pepe-Ameriprise Broker-Subject of $750,000 Customer Suit-Tampa, FL 150 150 Robert Rex, Esq.

August 2018-Tampa, Florida The FINRA records of  Michael J. Pepe,  a  stock broker who is currently employed by Ameriprise Financial Services ,  disclose a recently filed customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…

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  • Robert Rex, Esq.

James E. Lyons-Former Raymond James Broker-Subject of $5M Customer Suit-Shreveport, LA
James E. Lyons-Former Raymond James Broker-Subject of $5M Customer Suit-Shreveport, LA 150 150 Robert Rex, Esq.

July 2018-Shreveport, LA The FINRA records of former Raymond James broker James Edward Lyons disclose that he was recently barred from the securities industry and 1 pending and 5 prior customer disputes…

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  • Robert Rex, Esq.

Alexander Capital Sanctioned For Allowing Brokers to Churn Brokerage Accounts
Alexander Capital Sanctioned For Allowing Brokers to Churn Brokerage Accounts 150 150 Robert Rex, Esq.

MARCH 2019 Update–SEC enters consent judgement vs. William Gennity.  JULY 2018 The Securities and Exchange Commission (SEC) charged Alexander Capital and two of its managers for failing to supervise three…

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  • Robert Rex, Esq.

Oppenheimer Ordered to Pay Customer $800,000 For Unauthorized and Unsuitable Trading
Oppenheimer Ordered to Pay Customer $800,000 For Unauthorized and Unsuitable Trading 150 150 Robert Rex, Esq.

June 2018-Chicago, Illinois A FINRA (Financial Industry Regulatory Authority)  arbitration panel ordered brokerage firm Oppenheimer & Co. to pay a customer $800,000 in compensatory damages. The customer alleged that Oppenheimer…

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  • Robert Rex, Esq.

Dominick J. Diorio, Jr.-Aegis Capital Broker-Discloses Settlement of Customer Suit-Melville, NY
Dominick J. Diorio, Jr.-Aegis Capital Broker-Discloses Settlement of Customer Suit-Melville, NY 150 150 Robert Rex, Esq.

June 2018-Melville, New York The FINRA records of Aegis Capital Corp. broker Dominick J. Diorio, Jr. disclose a pending customer dispute and two prior customer disputes. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Mitchell Yanow-Former Stifel Nicolaus Broker-Discharged Over Allegations He Used Customer Funds to Purchase Corvette-Boca Raton, FL
Mitchell Yanow-Former Stifel Nicolaus Broker-Discharged Over Allegations He Used Customer Funds to Purchase Corvette-Boca Raton, FL 150 150 Robert Rex, Esq.

April 2019- Boca Raton, FL The FINRA records of Mitchell Toby Yanow  , a former stock broker disclose  that he was recently barred from the securities industry by FINRA, discharged by Stifel,…

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  • Robert Rex, Esq.

Regan A. Rohl-Former Wells Fargo Broker-Subject of Numerous Customer Suits Over Oil & Gas Investments-Fargo, N. Dakota
Regan A. Rohl-Former Wells Fargo Broker-Subject of Numerous Customer Suits Over Oil & Gas Investments-Fargo, N. Dakota 150 150 Robert Rex, Esq.

November 2020- Fargo, N. Dakota The FINRA records of Regan A. Rohl  , a stock broker who was, until recently,  employed by Wells Fargo Advisors Financial Network , disclose  a pending customer dispute and…

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