• Robert Rex, Esq.

Scott Sibley-Former Raymond James Broker-Discloses Multiple Customer Disputes Alleging Abuse of the Elderly-Boca Raton, FL
Scott Sibley-Former Raymond James Broker-Discloses Multiple Customer Disputes Alleging Abuse of the Elderly-Boca Raton, FL 150 150 Robert Rex, Esq.

April 2017-Boca Raton, FL According to publicly available records Scott Allen Sibley  , (CRD# 1523981) ,  a   former stockbroker who last worked for Moors & Cabot,  discloses 3 prior regulatory events, 2 pending…

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  • Robert Rex, Esq.

Ryan M. Murnane-Former Alexander Capital Broker-Discloses Discharge and Customer/Regulatory Complaints
Ryan M. Murnane-Former Alexander Capital Broker-Discloses Discharge and Customer/Regulatory Complaints 150 150 Robert Rex, Esq.

March 2017-New York According to publicly available records Ryan M. Murnane  , (CRD# 4784140) ,  a   former stockbroker who last worked for Alexander Capital and Woodstock Financial Group,  discloses a pending customer dispute, 5…

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  • Robert Rex, Esq.

San Antonio Based Investment Professionals, Inc. Sanctioned Over Sales to Senior Citizens
San Antonio Based Investment Professionals, Inc. Sanctioned Over Sales to Senior Citizens 150 150 Robert Rex, Esq.

March 2017-San Antonio, Texas San Antonio, Texas, based stock brokerage firm Investment Professionals, Inc.  (IPI)  was ordered by William F. Galvin of the Massachusetts Securities Division to pay a $100,000 fine and offer…

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  • Robert Rex, Esq.

Peter Martorana, Former Toms River, NJ, Financial Advisor, Pleads Guilty
Peter Martorana, Former Toms River, NJ, Financial Advisor, Pleads Guilty 150 150 Robert Rex, Esq.

February 2017-Toms River, NJ New Jersey 101.5 reports that Wall Township financial advisor Peter Martorana, 62, who worked for Retirement Benefit Specialists, pleaded guilty to accepting checks from elderly clients in…

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  • Robert Rex, Esq.

Ronald Dunn-Former Pruco Securities Broker-Indicted for Theft-N Richland Hills, TX
Ronald Dunn-Former Pruco Securities Broker-Indicted for Theft-N Richland Hills, TX 150 150 Robert Rex, Esq.

North Richland Hills, Texas Ronald T. Dunn, a former stockbroker who previously worked for PruCo Securities, was indicted in Tarrant County, TX, for theft of property between $100,000 and $200,000.…

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  • Robert Rex, Esq.

John Piro-Joseph Gunnar Broker-Discloses Customer Dispute Alleging Churning
John Piro-Joseph Gunnar Broker-Discloses Customer Dispute Alleging Churning 150 150 Robert Rex, Esq.

January 2017-Melville, New York According to publicly available records John J. Piro , (CRD# 4539787) ,  a  stockbroker currently employed by Joseph Gunnar & Co. ,  disclose a pending customer dispute. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Mid Atlantic Capital Ordered to Pay $922K to Customers-Denver, CO
Mid Atlantic Capital Ordered to Pay $922K to Customers-Denver, CO 150 150 Robert Rex, Esq.

December 2016-Denver, Colorado Brokerage firm Mid Atlantic Capital was ordered to pay a married couple $922,000 by a FINRA arbitration panel for damages they suffered to their brokerage account as…

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  • Robert Rex, Esq.

Stanley Niekras-Former Purshe Kaplan Broker-Charged in Regulatory Complaint Alleging Financial Abuse of Elderly
Stanley Niekras-Former Purshe Kaplan Broker-Charged in Regulatory Complaint Alleging Financial Abuse of Elderly 150 150 Robert Rex, Esq.

November 2016-Watertown, New York The FINRA records of  Stanley C. Niekras,  a  stockbroker who was formerly  employed by  Purshe Kaplan Sterling Investments disclose 7 prior customer disputes that have been resolved and a currently pending regulatory…

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  • Robert Rex, Esq.

Mark S. Garfinkel-Oppenheimer Broker, Boca Raton-Discloses Customer Disputes and Bankruptcy Filing
Mark S. Garfinkel-Oppenheimer Broker, Boca Raton-Discloses Customer Disputes and Bankruptcy Filing 150 150 Robert Rex, Esq.

August  2016-Boca Raton, Florida The FINRA records of Mark S. Garfinkel ,  a  stock broker who is currently employed  by Oppenheimer & Co.  , disclose  five prior  customer disputes and and one financial event. The Financial Industry Regulatory…

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