• Robert Rex, Esq.

Anthony Mastroianni-Former Alexander Capital Broker-Discloses $2M Customer Churning Arbitration
Anthony Mastroianni-Former Alexander Capital Broker-Discloses $2M Customer Churning Arbitration 150 150 Robert Rex, Esq.

August 2016-  New York The FINRA records of  Anthony Mastroianni,  a  stock broker who is currently employed by Meyers Associates  disclose  2 currently pending customer disputes, 4 prior customer disputes and a currently outstanding…

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  • Robert Rex, Esq.

Craig S. Taddonio-Meyers Associates Broker-Discloses Liens, Regulatory Events and Customer Disputes-NY
Craig S. Taddonio-Meyers Associates Broker-Discloses Liens, Regulatory Events and Customer Disputes-NY 150 150 Robert Rex, Esq.

New York MAY 2017 UPDATE– Taddonio’s FINRA record discloses a pending regulatory event, 2 prior final regulatory events, 3 prior final customer disputes,  a currently pending financial event and 5…

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  • Robert Rex, Esq.

Jonathan E. Rago-Former Aegis Capital Broker-Discloses Pending Customer Dispute
Jonathan E. Rago-Former Aegis Capital Broker-Discloses Pending Customer Dispute 150 150 Robert Rex, Esq.

August  2016-Melville, New York The FINRA records of Jonathan E. Rago ,  a  stock broker who is not currently registered but was last employed  by Aegis Capital Corp. , disclose a pending customer dispute and two prior regulatory events.…

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  • Robert Rex, Esq.

Nicholas F. Milano-Former Aegis Capital Broker-Disclosed Customer Arbitrations
Nicholas F. Milano-Former Aegis Capital Broker-Disclosed Customer Arbitrations 150 150 Robert Rex, Esq.

August  2016-Melville, New York The FINRA records of Nicholas F. Milano ,  a  stock broker who is not currently registered but was last employed  by Aegis Capital Corp. , disclose a pending customer dispute and a prior FINRA award…

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  • Robert Rex, Esq.

Serge Parakhnevich-PHX Financial Broker-Discloses Pending Customer Dispute
Serge Parakhnevich-PHX Financial Broker-Discloses Pending Customer Dispute 150 150 Robert Rex, Esq.

August  2016-New York The FINRA records of Serge Parakhnevich ,  a  stock broker who is currently employed by PHX Financial, Inc. , disclose a pending customer dispute and an outstanding judgment/lien. The Financial Industry Regulatory Authority (FINRA) is the agency…

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  • 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…

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  • 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…

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