• Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Ariel Rivero formerly with Jefferies LLC & Insigneo Securities
Rex Securities Law Investment Fraud Attorney Investigates Ariel Rivero formerly with Jefferies LLC & Insigneo Securities 150 150 Robert Rex, Esq.

Last Updated: June 2025 (Miami, FL) Ariel Rivero Investigation Summary Here’s what you need to know about Miami, FL, stockbroker Ariel Rivero: Name: Mr. Ariel A. Rivero Current Employer: Not…

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  • Robert Rex, Esq.

Daniel Staudacher-Worth Financial Group Broker-Discloses 2 Regulatory Events, a Customer Dispute and a Tax Lien-Dallas, TX
Daniel Staudacher-Worth Financial Group Broker-Discloses 2 Regulatory Events, a Customer Dispute and a Tax Lien-Dallas, TX 150 150 Robert Rex, Esq.

May 2025- Dallas, TX The FINRA records of Daniel W. Staudacher, a broker currently registered with Worth Financial Group, disclose 2 regulatory events, a customer dispute and a pending IRS lien.…

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  • Robert Rex, Esq.

David H. Miller-Formerly a Broker with Peachcap Securities- Discloses Multiple Customer Disputes- Atlanta, GA
David H. Miller-Formerly a Broker with Peachcap Securities- Discloses Multiple Customer Disputes- Atlanta, GA 150 150 Robert Rex, Esq.

May 2025 – Atlanta, GA The FINRA records of of David Harrison Miller , formerly a stockbroker with Peachcap Securities is not currently registered with FINRA. He  discloses 9 prior…

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John Zaffarano-Newbridge Securities Broker- Discloses Pending $185K Customer Dispute – Boca Raton, FL
John Zaffarano-Newbridge Securities Broker- Discloses Pending $185K Customer Dispute – Boca Raton, FL 150 150 ER

John Zaffarano Investigation Updated April 2025 Boca Raton, FL  According to publicly available records,  John Zaffarano  a Newbridge Securities Corporation broker recently settled a  customer dispute. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Alvery Bartlett- Former Aegis Capital Broker-Millions Paid to Disgruntled Customers -St. Louis, MO
Alvery Bartlett- Former Aegis Capital Broker-Millions Paid to Disgruntled Customers -St. Louis, MO 150 150 Robert Rex, Esq.

April 2025 – St. Louis, MO According to publicly available records  Alvery Anthony Bartlett, Jr. (CRD#13975), a previously registered stockbroker who was last employed by Aegis Capital and who previously…

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Rex Securities Law Investment Fraud Attorney Investigates Mark Williams a Former Broker with Kingswood Capital Partners / Financial Gravity
Rex Securities Law Investment Fraud Attorney Investigates Mark Williams a Former Broker with Kingswood Capital Partners / Financial Gravity 150 150 ER

Mark J. Williams Investigation March 2025-Carmel by the Sea, CA/ Lakeway, TX/ Stockbridge, GA According to publicly available records Mark John Williams ,  a former broker who last was registered…

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  • Robert Rex, Esq.

Mario Rivero Investigation -Former Wells Fargo and LPL Financial Broker-Red Bank, New Jersey
Mario Rivero Investigation -Former Wells Fargo and LPL Financial Broker-Red Bank, New Jersey 150 150 Robert Rex, Esq.

Mario E. Rivero Investigation February 2025-Red Bank, New Jersey We are investigating former Wells Fargo & LPL Financial advisor Mario E. Rivero, Jr. According to FINRA records Mario Rivero discloses a recent…

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Rex Securities Law Investment Fraud Attorney Investigates Pamela Espinosa a broker with Kestra Investment Services
Rex Securities Law Investment Fraud Attorney Investigates Pamela Espinosa a broker with Kestra Investment Services 150 150 ER

Last Updated: February 2025 (Albuquerque, New Mexico) Pamela Espinosa Investigation Summary Here’s what you need to know about Albuquerque, NM, stockbroker Pamela Espinosa: Name: Ms. Pamela S. Espinosa Current Employer:…

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  • Robert Rex, Esq.

Webull Financial Fined $3 Million – Failure to Exercise Due Diligence When Approving Option Traders
Webull Financial Fined $3 Million – Failure to Exercise Due Diligence When Approving Option Traders 150 150 Robert Rex, Esq.

Webull Financial LLC Investigation January  2025 – New York According to publicly obtained regulatory records, Webull Financial LLC , a FINRA registered broker dealer that offers low cost, self directed trading…

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