Unsuitable Investments Archives

Robert Rex, Esq.
January 28, 2020

Robert Tweed-Former Cabot Lodge Securities Broker- Discloses a Regulatory Event, a Civil Event, Numerous Customer Disputes and a Termination from Employment- San Marino, CA

Robert Tweed-Former Cabot Lodge Securities Broker- Discloses a Regulatory Event, a Civil Event, Numerous Customer Disputes and a Termination from Employment- San Marino, CA https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g January 28, 2020 August 25, 2025

THIS POST HAS BEEN UPDATE-Follow Link January 2020-San Marino, CA According to publicly available records of Robert Russel Tweed (CRD#2339324) , a former stockbroker who last worked for Cabot Lodge Securities,…

Robert Rex, Esq.
January 28, 2020

Marco Bartolo Azizi-Centaurus Financial, Inc. Broker-Discloses Pending Customer Disputes- San Jose, CA

Marco Bartolo Azizi-Centaurus Financial, Inc. Broker-Discloses Pending Customer Disputes- San Jose, CA https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g January 28, 2020 January 28, 2020

January 2020 – San Jose, CA The FINRA records of Marco Bartolo Azizi, a stockbroker who is currently employed by Centaurus Financial, Inc., disclose 2 pending customer disputes. The Financial Industry Regulatory…

Robert Rex, Esq.
January 14, 2020

Jason Zwibel-Garden State Securities Financial Advisor-Discloses Customer Disputes-Wellington, FL

Jason Zwibel-Garden State Securities Financial Advisor-Discloses Customer Disputes-Wellington, FL https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g January 14, 2020 January 14, 2020

January 2020 – Wellington, FL The FINRA records of Jason Eric Zwibel, a stockbroker who is currently employed by Garden State Securities, disclose a pending customer dispute, 4 prior customer disputes and…

Robert Rex, Esq.
January 9, 2020

Michael S. Sims-Former Wedbush Securities Broker- Discloses 4 Prior Customer Disputes and 1 Pending Customer Dispute- Santa Rosa, CA

Michael S. Sims-Former Wedbush Securities Broker- Discloses 4 Prior Customer Disputes and 1 Pending Customer Dispute- Santa Rosa, CA https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g January 9, 2020 January 9, 2020

January 2020 – Santa Rosa, CA The FINRA records of Michael Stevan Sims, a stockbroker who was last employed by Wedbush Securities, Inc., disclose 4 prior customer disputes. The Financial Industry Regulatory Authority…

Robert Rex, Esq.
January 8, 2020

Robert Edward Burns- Cetera Broker-Discloses Customer Disputes-Greenwood Village, CO

Robert Edward Burns- Cetera Broker-Discloses Customer Disputes-Greenwood Village, CO https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g January 8, 2020 January 8, 2020

January 2020- Greenwood Village, CO The FINRA records of Robert Edward Burns, a stockbroker employed by Cetera Advisor Networks , disclose a pending customer dispute and a prior customer dispute. The Financial Industry…

Robert Rex, Esq.
January 2, 2020

Joseph A Likens-former LPL Financial Advisor-Discloses 15 Customer Disputes-Des Peres, MO

Joseph A Likens-former LPL Financial Advisor-Discloses 15 Customer Disputes-Des Peres, MO https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g January 2, 2020 January 2, 2020

January 2020-Des Peres, MO According to publicly available records of Joseph Alan Likens (CRD#3084903) , a former stockbroker who previously worked for LPL FInancial discloses 2 regulatory events, 15 customer disputes,…

Robert Rex, Esq.
January 2, 2020

Douglas Lee-Former Worden Capital Broker- Discloses Customer Disputes-Garden City, NY

Douglas Lee-Former Worden Capital Broker- Discloses Customer Disputes-Garden City, NY https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g January 2, 2020 January 2, 2020

January 2020 – 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…

Robert Rex, Esq.
January 2, 2020

Jason P. Collichio-Worden Capital Broker-Discloses Regulatory Matter-Rockville Center.,NY

Jason P. Collichio-Worden Capital Broker-Discloses Regulatory Matter-Rockville Center.,NY https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g January 2, 2020 January 2, 2020

September 2021- Rockville Center, NY According to publicly available records Jason Paul Collichio (CRD#4727199) , a stockbroker currently registered with Worden Capital Management discloses a regulatory matter that resulted in a suspension and…

Robert Rex, Esq.
January 2, 2020

John Torres-FormerJP Morgan Broker- Discloses Pending Customer Disputes- Northridge, CA

John Torres-FormerJP Morgan Broker- Discloses Pending Customer Disputes- Northridge, CA https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g January 2, 2020 January 2, 2020

January 2020 – Northridge, CA According to publicly available records John Luis Torres (CRD#6322231) , a former stockbroker discloses a regulatory event resulting in his bar from the industry , 2 pending…

Robert Rex, Esq.
November 11, 2019

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 https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g November 11, 2019 November 11, 2019

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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