• Robert Rex, Esq.

Austin W. Morton-Former Edward Jones Broker-Named in Theft Complaint-Sallisaw, OK
Austin W. Morton-Former Edward Jones Broker-Named in Theft Complaint-Sallisaw, OK 150 150 Robert Rex, Esq.

March 2017-Sallisaw, OK According to publicly available records Austin W. Morton , (CRD# 5538108) ,  a  currently unregistered stockbroker who previously worked for Edward Jones  disclose a pending regulatory matter, a pending customer dispute and…

read more
  • Robert Rex, Esq.

David A. Basinger-Former VSR Financial Services Broker-Investigation Over Alternative Investments-Alexandria, VA
David A. Basinger-Former VSR Financial Services Broker-Investigation Over Alternative Investments-Alexandria, VA 150 150 Robert Rex, Esq.

Alexandria, Virginia Rex Securities Law is investigating  broker David Alan Basinger  on behalf of a elderly, retired widow from Alexandria who was advised to purchase  limited partnerships, direct investments in oil & gas,…

read more
  • 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…

read more
  • 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…

read more
  • Robert Rex, Esq.

Securities Regulators Fine 12 Firms over $14 million for Failing to Protect Records
Securities Regulators Fine 12 Firms over $14 million for Failing to Protect Records 150 150 Robert Rex, Esq.

December 2016- Washington In a News Release, the Financial Industry Regulatory Authority (FINRA) announced that the following firms were fined a total of $14.4 million for deficiencies relating to the…

read more
  • 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…

read more
  • Robert Rex, Esq.

Douglas P. Simanski-Former NEXT Financial Group Broker-Discharged for Theft
Douglas P. Simanski-Former NEXT Financial Group Broker-Discharged for Theft 150 150 Robert Rex, Esq.

Altoona, PA UPDATE MAY 2017-The FINRA records of former NEXT Financial Group broker Douglas Simanski currently disclose 13 pending customer disputes and 3 customer disputes that are final. The newly…

read more
  • 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…

read more
  • Robert Rex, Esq.

FBI Warns of Scams Targeting Seniors in North Texas
FBI Warns of Scams Targeting Seniors in North Texas 150 150 Robert Rex, Esq.

July 29. 2016- Sherman & Denison, Texas The Dallas division of the Federal Bureau of Investigation (FBI) sent out a warning about a scam which targets senior citizens in north…

read more
Enter your
text here

You cannot copy content of this page