• Robert Rex, Esq.

North Carolina Certified Financial Planners Disciplined by CFP Board- SEPTEMBER 2021 Update
North Carolina Certified Financial Planners Disciplined by CFP Board- SEPTEMBER 2021 Update 150 150 Robert Rex, Esq.

UPDATED SEPTEMBER 2021 According to their website, the “Certified Financial Planner (CFP) Board is a non-profit organization acting in the public interest by fostering professional standards in personal financial planning through its setting…

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  • Robert Rex, Esq.

Losses on Lightstone Value Plus Real Estate Investment Trust III ? Investment Loss Recovery Lawyer
Losses on Lightstone Value Plus Real Estate Investment Trust III ? Investment Loss Recovery Lawyer 150 150 Robert Rex, Esq.

August 2021 Did you invest in Lightstone Value Plus REIT III ? Did you Suffer Losses? Lightstone Value Plus REIT III was sold to investors with the promise of a…

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  • Robert Rex, Esq.

Newbridge Securities Fined $499,000 For Failing to Supervise Sale of Structured Products
Newbridge Securities Fined $499,000 For Failing to Supervise Sale of Structured Products 150 150 Robert Rex, Esq.

July 2021-Boca Raton, FL Boca Raton, FL based brokerage firm Newbridge Securities Corp. discloses 29 regulatory events on their publicly available FINRA record. Recent regulatory sanctions include: 9/2019-FINRA sanctioned Newbridge…

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  • Robert Rex, Esq.

Charles Bonilla-Former David Lerner Broker-Sanctioned Over Energy LP Sales – Boca Raton, FL
Charles Bonilla-Former David Lerner Broker-Sanctioned Over Energy LP Sales – Boca Raton, FL 150 150 Robert Rex, Esq.

July 2021- Boca Raton, FL According to publicly available records Charles Bonilla (CRD#2572107), a broker who formerly worked for  David Lerner Associates, discloses a regulatory resulting in a suspension and fine…

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  • Robert Rex, Esq.

Moe Azizi-Centaurus Financial Broker-Discloses Customer Disputes-San Jose, CA
Moe Azizi-Centaurus Financial Broker-Discloses Customer Disputes-San Jose, CA 150 150 Robert Rex, Esq.

July 2021-San Jose, CA According to publicly available records.  Marco “Moe” Azizi (CRD#2154719), a broker employed with Centaurus Financial, Inc.,  discloses 1 pending and 4 prior customer disputes. The Financial…

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  • Robert Rex, Esq.

Paul Petrillo-Former Thrivent Investment Broker- Barred from FINRA-Discloses a Customer Dispute-Appleton, WI
Paul Petrillo-Former Thrivent Investment Broker- Barred from FINRA-Discloses a Customer Dispute-Appleton, WI 150 150 Robert Rex, Esq.

June 2020- Appleton, WI According to publicly available records, former Thrivent Investment Management, Inc.,  financial advisor Paul W. Petrillo,  is barred from FINRA and discloses a settled customer dispute. The…

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  • Robert Rex, Esq.

Jacquin P. Fink-Former Merrill Lynch Broker-Discloses almost $3.9M in Settlements and a Pending Customer Dispute-New York
Jacquin P. Fink-Former Merrill Lynch Broker-Discloses almost $3.9M in Settlements and a Pending Customer Dispute-New York 150 150 Robert Rex, Esq.

June 2020-New York According to publicly available records.  Jacquin P. Fink (CRD#207807), a  stockbroker who last worked for Merrill Lynch,  discloses 10 prior customer disputes and 1 pending customer dispute.…

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  • Robert Rex, Esq.

Cindy Chiellini-Centaurus Financial Broker- Discloses Pending Customer Disputes of Nearly $5M- Lexington, SC
Cindy Chiellini-Centaurus Financial Broker- Discloses Pending Customer Disputes of Nearly $5M- Lexington, SC 150 150 Robert Rex, Esq.

June 2020- Lexington, SC The FINRA records of Cindy Lucille Chiellini (CRD#1015592)  , a broker with Centaurus Financial, Inc., discloses  prior customer disputes and 27 pending customer disputes seeking damages of nearly $5,000,000 . The…

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  • Robert Rex, Esq.

James Booth-Former LPL Financial Broker-Barred from Industry-Subject of Multiple Theft Claims-Norwalk, CT
James Booth-Former LPL Financial Broker-Barred from Industry-Subject of Multiple Theft Claims-Norwalk, CT 150 150 Robert Rex, Esq.

June 2020- Norwalk, CT According to publicly available records, former LPL Financial financial advisor James T. Booth,  has been barred from the securities industry by FINRA. He  discloses 3 regulatory…

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