Unsuitable Investments Archives

Robert Rex, Esq.
March 31, 2016

Alan Z. Appelbaum Investigation-Former HJ Sims Broker Subject of $1.8M Customer Suit-Boca Raton

Alan Z. Appelbaum Investigation-Former HJ Sims Broker Subject of $1.8M Customer Suit-Boca Raton 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 March 31, 2016 March 31, 2016

November 2019 Update The FINRA records of Alan Z. Appelbaum , a stockbroker who was last employed by Aegis Capital , disclose 3 regulatory events, 4 pending customer disputes and 9 prior customer disputes. The…

Robert Rex, Esq.
March 30, 2016

Mark A. Lisser-Former Garden State Securities Broker- Subject of Customer Suits

Mark A. Lisser-Former Garden State Securities Broker- Subject of Customer Suits 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 March 30, 2016 March 30, 2016

September 2019 FINRA records disclose that former Garden State Securities stockbroker Mark A. Lisser has two pending customer disputes , 5 prior customer disputes and a termination from employment. FINRA…

Robert Rex, Esq.
March 30, 2016

Carlo W. Corzine Settles Customer Complaint- Tactical Air Defense Inc.

Carlo W. Corzine Settles Customer Complaint- Tactical Air Defense Inc. 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 March 30, 2016 March 30, 2016

March 27, 2016 FINRA records report that Carlo W. Corzine, who is currently registered with Dawson James Securities in Boca Raton, FL, recently settled a customer dispute. The complaint alleged…

Robert Rex, Esq.
March 28, 2016

G A Repple Broker Frederick Bremer Settles “Church Bond” Case

G A Repple Broker Frederick Bremer Settles “Church Bond” Case 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 March 28, 2016 March 28, 2016

March 28, 2016-Casselberry, Florida According to FINRA records, financial advisor Frederick P. Bremer, who has been registered with G.A. Repple & Co. since January 1998 , recently settled a complaint with a customer…

Robert Rex, Esq.
March 28, 2016

Richard S. Sadowski-G A Repple Broker- Discloses Customer Complaints -Hot Springs, Arkansas

Richard S. Sadowski-G A Repple Broker- Discloses Customer Complaints -Hot Springs, Arkansas 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 March 28, 2016 March 28, 2016

March 28, 2016-Hot Springs, Arkansas According to FINRA records, G.A. Repple broker Richard S. Sadowski has 13 customer disputes reported, including: FINRA Case No 13-3205– A customer alleged that Sadowski,…

Robert Rex, Esq.
March 28, 2016

Christopher Veale Investigation-Numerous Customer Complaint & Regulatory Issues

Christopher Veale Investigation-Numerous Customer Complaint & Regulatory Issues 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 March 28, 2016 March 28, 2016

FINRA records report that Christopher F. Veale , of New York, who is not currently registered, is currently named in a customer dispute: FINRA Case 15-00373-customer alleges breach of fiduciary duty by Veale while…

Robert Rex, Esq.
March 27, 2016

Mark Kaplan-Former Vanderbilt Securities Broker-Barred From Industry for Churning Account of 93 Yr. Old Customer

Mark Kaplan-Former Vanderbilt Securities Broker-Barred From Industry for Churning Account of 93 Yr. Old Customer 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 March 27, 2016 March 27, 2016

See this for MARCH 2018 UPDATE–Mark Kaplan barred from securities industry for churning account of 93 year customer. APRIL 2017-UPDATE-In FINRA Case 16-0193 a customer of Vanderbilt Securities alleges damages…

Robert Rex, Esq.
March 26, 2016

Richard Gomez Investigation-Former Legend Securities Broker

Richard Gomez Investigation-Former Legend Securities Broker 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 March 26, 2016 March 26, 2016

FINRA records report that Richard Gomez , of New York, who is not currently registered, is currently named in two customer disputes: FINRA Case 16-0035 filed by a Florida resident against Gomez while he…

Robert Rex, Esq.
March 26, 2016

Salvatore Pizzimenti Investigation-Legend Securities Broker

Salvatore Pizzimenti Investigation-Legend Securities Broker 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 March 26, 2016 March 26, 2016

FINRA records report that Salvatore Pizzimenti , who has been registered with Legend Securities since 8/2011 , has been named in four customer disputes that have been resolved, including: FINRA Case 12-2703 filed while Pizzimenti…

Robert Rex, Esq.
March 26, 2016

Mario Gogliormella Investigation-Legend Securities Broker

Mario Gogliormella Investigation-Legend Securities Broker 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 March 26, 2016 March 26, 2016

FINRA records report that Mario Gogliormella , who has been registered with Legend Securities since 12/2010 , is currently named in three pending customer disputes: FINRA Case 15-3487 alleging unsuitability and breach…

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