Chelsea Financial Services investigation

  • Robert Rex, Esq.

George M. Warner-Former Chelsea Financial Broker-Discloses Regulatory Sanction -Horseshoe Bay & Rockwall, TX
George M. Warner-Former Chelsea Financial Broker-Discloses Regulatory Sanction -Horseshoe Bay & Rockwall, TX 150 150 Robert Rex, Esq.

George M. Warner Investigation June 2022-Horseshoe Bay & Rockwall, TX The FINRA records of  George M. Warner ,  a  former stockbroker who last was registered with Chelsea Financial Services disclose 2 prior…

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  • Robert Rex, Esq.

Dennis James Murphy-Monmouth Capital Broker-Permanently Barred from FINRA- Discloses Customer Disputes and Liens- Red Bank, NJ
Dennis James Murphy-Monmouth Capital Broker-Permanently Barred from FINRA- Discloses Customer Disputes and Liens- Red Bank, NJ 150 150 Robert Rex, Esq.

July 2021- Red Bank, NJ According to publicly available records, former Monmouth Capital  financial advisor Dennis James Murphy,  has been barred from FINRA. The Financial Industry Regulatory Authority (FINRA) is the…

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  • Robert Rex, Esq.

Michael Jump-Former Investment Planners Inc. Broker-Discloses Customer Disputes/Termination-Somonauk, IL
Michael Jump-Former Investment Planners Inc. Broker-Discloses Customer Disputes/Termination-Somonauk, IL 150 150 Robert Rex, Esq.

June 2017-Somonauk, IL According to publicly available records Michael A. Jump  (CRD#1146669) ,  a  stockbroker currently registered with Chelsea Financial Services  discloses 2 regulatory events, four customer disputes and a termination. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Dominic J. Linsalata-Newbridge Securities Broker-Discloses Settlement of Customer Dispute-Boca Raton, FL
Dominic J. Linsalata-Newbridge Securities Broker-Discloses Settlement of Customer Dispute-Boca Raton, FL 150 150 Robert Rex, Esq.

May 2017-Boca Raton, FL The FINRA records of  Dominic J. Linsalata Jr.  ,  a  stockbroker who is currently registered with Newbridge Securities disclose a customer dispute that was settled. The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Matthew DiGregorio-Former J.D. Nicholas Broker-Permanently Barred from Securities Industry-Melville, NY
Matthew DiGregorio-Former J.D. Nicholas Broker-Permanently Barred from Securities Industry-Melville, NY 150 150 Robert Rex, Esq.

Melville, NY UPDATE JULY 2017-In 11/2016 Matthew DiGregorio was permanently barred from the securities industry by FINRA for failing to pay an award as ordered by a FINRA arbitration panel…

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  • Robert Rex, Esq.

Salvatore Gioe- Former PHX Financial Broker-Barred From Securities Industry
Salvatore Gioe- Former PHX Financial Broker-Barred From Securities Industry 150 150 Robert Rex, Esq.

February 2019- New York The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints…

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  • Robert Rex, Esq.

Robert E. Gill-Chelsea Financial Services-Reports 18 Disclosure Events on FINRA Record-Tinton Falls, NJ
Robert E. Gill-Chelsea Financial Services-Reports 18 Disclosure Events on FINRA Record-Tinton Falls, NJ 150 150 Robert Rex, Esq.

Tinton Falls, NJ The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and…

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  • Robert Rex, Esq.

Denise A. Cerveny Discloses Termination from Regal Securities
Denise A. Cerveny Discloses Termination from Regal Securities 150 150 Robert Rex, Esq.

Secaucus, NJ The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes…

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