• Robert Rex, Esq.

Jason H. LeBlanc-Former Girard Securities Broker-Barred From Securities Industry-Fulshear, TX
Jason H. LeBlanc-Former Girard Securities Broker-Barred From Securities Industry-Fulshear, TX 150 150 Robert Rex, Esq.

September 2017 -Fulshear, Texas According to publicly available records Jason H. LeBlanc (CRD#2483182) , a  former stockbroker who was last employed by Girard Securities , disclose  a prior regulatory event,  3 prior customer disputes and a…

read more
  • Robert Rex, Esq.

Former Alexander Capital Brokers-Billy Gennity and Rocco Roveccio-Named in SEC Fraud Suit-NYC
Former Alexander Capital Brokers-Billy Gennity and Rocco Roveccio-Named in SEC Fraud Suit-NYC 150 150 Robert Rex, Esq.

MARCH 2019 UPDATE-The SEC entered a consent judgment against WIlliam Gennity who was charged with defrauding customers by making unsuitable and unauthorized trades and churning customers’ accounts to generate commissions.…

read more
  • Robert Rex, Esq.

Guy Magarelli-Newbridge Securities Broker-Discloses Customer Dispute-Boca Raton, FL
Guy Magarelli-Newbridge Securities Broker-Discloses Customer Dispute-Boca Raton, FL 150 150 Robert Rex, Esq.

September 2017 -Boca Raton, FL According to publicly available records Gaetano “Guy” Magarelli (CRD#2227996) , a  stockbroker who is registered with Newbridge Securities Corporation , disclose  2 pending customer disputes , 3 prior customer disputes…

read more
  • Robert Rex, Esq.

William H. Watson III-Former Freedom Investors Broker- Discloses Regulatory events, Customer Disputes-Federal Tax Liens-Orange County, CA
William H. Watson III-Former Freedom Investors Broker- Discloses Regulatory events, Customer Disputes-Federal Tax Liens-Orange County, CA 150 150 Robert Rex, Esq.

August 2018 -Orange County, CA According to publicly available records William Henry Watson III (CRD#1016938) , a  stockbroker who was previously registered with Freedom Investors Corp, disclose  two regulatory events , seven customer disputes and…

read more
  • Robert Rex, Esq.

Glenn R. King- Prior Buckman, Buckman & Reid, Inc. Broker- Discloses FINRA Sanction, Numerous Customer Disputes – Shrewsbury, NJ
Glenn R. King- Prior Buckman, Buckman & Reid, Inc. Broker- Discloses FINRA Sanction, Numerous Customer Disputes – Shrewsbury, NJ 150 150 Robert Rex, Esq.

August 2017 – Shrewsbury, NJ According to publicly available records  Glenn Robert King (CRD#2191091) , a former stockbroker who was last registered with Buckman, Buckman & Reid, Inc. disclose a regulatory event,…

read more
  • Robert Rex, Esq.

Tye C. Williams-Former NEXT Financial Group Broker-Named in $1M Customer Dispute-Frisco, TX
Tye C. Williams-Former NEXT Financial Group Broker-Named in $1M Customer Dispute-Frisco, TX 150 150 Robert Rex, Esq.

September 2017 – Frisco, Texas According to publicly available records  Tye C. Williams (CRD#1271046) , a former stockbroker  who was most recently employed by NEXT Financial Group , disclose  a regulatory event that resulted in…

read more
  • Robert Rex, Esq.

Dave Nicolas-Garden State Securities Broker-Discloses Customer Dispute-Hackensack, NJ
Dave Nicolas-Garden State Securities Broker-Discloses Customer Dispute-Hackensack, NJ 150 150 Robert Rex, Esq.

August 2017 – Hackensack, NJ According to publicly available records  Dave Nicolas (CRD#5176405) , a former stockbroker  registered with Garden State Securities, Inc. , disclose a customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…

read more
  • Robert Rex, Esq.

Kelly G. Richards-First Allied Securities Broker-Discloses Prior Termination-Phoenix, AZ
Kelly G. Richards-First Allied Securities Broker-Discloses Prior Termination-Phoenix, AZ 150 150 Robert Rex, Esq.

August  2018- The FINRA records of  Kelly Gene Richards , (CRD 4918409),   a  stockbroker who is currently  employed by  First Allied Securities, disclose a prior termination from employment. The Financial Industry Regulatory Authority…

read more
  • Robert Rex, Esq.

James Pheney-Former WFG Investments Broker-Discloses Pending Customer Dispute-Castle Rock,CO/Brenham, TX
James Pheney-Former WFG Investments Broker-Discloses Pending Customer Dispute-Castle Rock,CO/Brenham, TX 150 150 Robert Rex, Esq.

July 2017 -Castle Rock, CO-Brenham, Texas According to publicly available records James K. Pheney  (CRD#1272932) ,  a  stockbroker who currently is employed by Mid Atlantic Capital Corp. ,  disclose a pending customer dispute. The…

read more
  • Robert Rex, Esq.

Employer of Stuart, FLA, Broker Christopher D. Sinkula Named in FINRA Arbitration
Employer of Stuart, FLA, Broker Christopher D. Sinkula Named in FINRA Arbitration 150 150 Robert Rex, Esq.

FOLLOW THIS LINK FOR FEBRUARY 2019 UPDATE-Chris SInkula subject of pending customer disputes of nearly $3 million.  September 2017-Stuart, Florida We have filed a FINRA arbitration claim against Janney Montgomery…

read more
Enter your
text here

You cannot copy content of this page