• Robert Rex, Esq.

Dominick J. Diorio, Jr.-Aegis Capital Broker-Discloses Settlement of Customer Suit-Melville, NY
Dominick J. Diorio, Jr.-Aegis Capital Broker-Discloses Settlement of Customer Suit-Melville, NY 150 150 Robert Rex, Esq.

June 2018-Melville, New York The FINRA records of Aegis Capital Corp. broker Dominick J. Diorio, Jr. disclose a pending customer dispute and two prior customer disputes. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

James L. Powers-Former Du Pasquier Broker-Named In Regulatory Complaint-Hoboken, NJ
James L. Powers-Former Du Pasquier Broker-Named In Regulatory Complaint-Hoboken, NJ 150 150 Robert Rex, Esq.

April 2017- Hoboken, New Jersey According to publicly available records James L. Powers  , (CRD# 1793348) ,  a  currently unregistered stockbroker who was last registered with IFS Securities  discloses a pending  regulatory event. The Financial Industry Regulatory…

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