• Robert Rex, Esq.

Rick J. Sande-Aegis Capital Broker-Discloses Pending Customer Arbitration Claim
Rick J. Sande-Aegis Capital Broker-Discloses Pending Customer Arbitration Claim 150 150 Robert Rex, Esq.

August  2016-Melville, New York The FINRA records of Rick J. Sande ,  a  stock broker who is currently employed by Aegis Capital , disclose a pending customer dispute and a prior final customer dispute. The Financial Industry Regulatory…

read more
  • Robert Rex, Esq.

Joel E. Archer-Summit Brokerage Services Broker-Discloses Pending Customer Dispute-Arden Arcade, CA
Joel E. Archer-Summit Brokerage Services Broker-Discloses Pending Customer Dispute-Arden Arcade, CA 150 150 Robert Rex, Esq.

August  2016-Arden Arcade, CA The FINRA records of Joel E. Archer ,  a  stock broker who is currently employed by Summit Brokerage Services , disclose a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that…

read more
  • Robert Rex, Esq.

J.J. Heaton-Former Merrill Lynch Broker-Discloses Customer Dispute Over Annuity Purchase
J.J. Heaton-Former Merrill Lynch Broker-Discloses Customer Dispute Over Annuity Purchase 150 150 Robert Rex, Esq.

August  2016-The Villages, Florida The FINRA records of J.J. Heaton ,  a  stock broker who is currently employed by Raymond James & Assoc. , disclose a pending customer dispute brought by a customer of Merrill Lynch,  Heaton’s prior employer.…

read more
  • Robert Rex, Esq.

Debra R. Lambert-Raymond James Broker-Discloses Pending Customer Arbitration
Debra R. Lambert-Raymond James Broker-Discloses Pending Customer Arbitration 150 150 Robert Rex, Esq.

August  2016-The Villages, Florida The FINRA records of Debra R. Lambert ,  a  stock broker who is currently employed by Raymond James & Assoc. , disclose a pending customer dispute brought by a customer of Merrill Lynch, Lambert’s…

read more
  • Robert Rex, Esq.

Robert Kyle Ratcliff-Stifel,Nicolaus Broker-Discloses Customer Arbitration-Denton, TX
Robert Kyle Ratcliff-Stifel,Nicolaus Broker-Discloses Customer Arbitration-Denton, TX 150 150 Robert Rex, Esq.

Denton, Texas UPDATE JULY 2017–FINRA records disclose that arbitration 15-3427, discussed below, was settled 2/2017 for $117,477.  August  2016-ORIGINAL POST   The FINRA records of Robert Kyle Ratcliff ,  a  stock broker who is currently employed…

read more
  • Robert Rex, Esq.

Dean T. Nicholson-Sagepoint Financial Broker-Discloses Pending Customer Arbitration
Dean T. Nicholson-Sagepoint Financial Broker-Discloses Pending Customer Arbitration 150 150 Robert Rex, Esq.

August  2016-Summerfield / The Villages, Florida The FINRA records of Dean T. Nicholson ,  a  stock broker who is currently employed by Sagepoint Financial, dba Elliott Wealth Management Services  , disclose a prior final regulatory event, a prior customer…

read more
  • Robert Rex, Esq.

Hank Werner-Former Legend Securities Broker-Discloses Investigation for Churning Account of Blind & Disabled Widow
Hank Werner-Former Legend Securities Broker-Discloses Investigation for Churning Account of Blind & Disabled Widow 150 150 Robert Rex, Esq.

August  2016-New York The FINRA records of Hank M. Werner ,  a  currently unlicensed stock broker who was most recently employed by Legend Securities Inc.  , discloses a pending FINRA investigation in which he was charged with…

read more
  • Robert Rex, Esq.

Michael P. Dalessandro-Investment Center Broker-Discloses Customer Dispute Over Oil & Gas Investments
Michael P. Dalessandro-Investment Center Broker-Discloses Customer Dispute Over Oil & Gas Investments 150 150 Robert Rex, Esq.

August  2016-Colt’s Neck, New Jersey The FINRA records of Michael P. Dalessandro ,  a  stock broker who is currently  employed  by The Investment Center  , disclose a pending customer dispute and a prior final customer dispute. The…

read more
  • Robert Rex, Esq.

The Investment Center Fined $50K For Sale of Energy Stocks to Texas Residents
The Investment Center Fined $50K For Sale of Energy Stocks to Texas Residents 150 150 Robert Rex, Esq.

August 2016- Austin Texas The Texas State Securities Board (TSSB) sanctioned The Investment Center, Inc. , a New Jersey securities dealer registered in Texas for failing to supervise one of…

read more
  • Robert Rex, Esq.

Rick J. Sande-Aegis Capital Broker-Discloses Customer Dispute Alleging Churning
Rick J. Sande-Aegis Capital Broker-Discloses Customer Dispute Alleging Churning 150 150 Robert Rex, Esq.

August  2016-Melville, New York The FINRA records of Rick J. Sande ,  a  stock broker who is currently  employed  by Aegis Capital Corp.  , disclose a pending customer dispute and a prior final customer dispute. The Financial…

read more
Enter your
text here

You cannot copy content of this page