• Robert Rex, Esq.

Rick J. Sande-Aegis Capital Broker-Discloses Customer Dispute Alleging Churning
Rick J. Sande-Aegis Capital Broker-Discloses Customer Dispute Alleging Churning 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 Corp.  , disclose a pending customer dispute and a prior final customer dispute. The Financial…

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  • Robert Rex, Esq.

Douglas A. Leone-Former Newport Coast Securities Broker-Discloses Regulatory Investigation for Churning
Douglas A. Leone-Former Newport Coast Securities Broker-Discloses Regulatory Investigation for Churning 150 150 Robert Rex, Esq.

July 2016-Farmingdale, NY The FINRA records of Douglas A. Leone  , a stock broker currently employed by  Salomon Whitney Financial  , disclose a pending regulatory event and 7 prior customer disputes, The Financial Industry Regulatory Authority (FINRA) is the…

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  • Robert Rex, Esq.

Raymond J. Pirrello-Former Garden State Securities Broker-Named in SEC Insider Trading Complaint
Raymond J. Pirrello-Former Garden State Securities Broker-Named in SEC Insider Trading Complaint 150 150 Robert Rex, Esq.

MARCH 2018 UPDATE-Pirrello Named in customer arbitration alleging churning. See this for details. May 2017 UPDATE-FINRA records disclose that Raymond J. Pirrello, Jr.  has 9 prior final customer disputes and…

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  • Robert Rex, Esq.

Bernard T. Weber-Feltl & Co. Broker-Discloses Pending Customer Complaint Alleging Churning
Bernard T. Weber-Feltl & Co. Broker-Discloses Pending Customer Complaint Alleging Churning 150 150 Robert Rex, Esq.

MAY 2018 UPDATE-Minnetonka, MN According to FINRA records, Bernard T. Weber ,  a broker who has been  registered  with Feltl & Company since  12/2006 , discloses five prior customer disputes, two final regulatory…

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