• Robert Rex, Esq.

Timothy C. Moody- Moody Captital Solutions Broker-Discloses Regulatory Suspension
Timothy C. Moody- Moody Captital Solutions Broker-Discloses Regulatory Suspension 150 150 Robert Rex, Esq.

Dawsonville, Georgia According to FINRA records,  Timothy C. Moody ,   a stock broker  employed by Moody Capital Solutions , discloses a recent regulatory action. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers…

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  • Robert Rex, Esq.

Robert L. Rosenstein-Moody Capital Solutions Broker-Discloses Judgements/Liens
Robert L. Rosenstein-Moody Capital Solutions Broker-Discloses Judgements/Liens 150 150 Robert Rex, Esq.

Dawsonville, Georgia According to FINRA records,  Robert L. Rosenstein ,   a stock broker  formerly employed by Ladenburg, Thalmann & Co. , discloses the discharge from a Chapter 7 bankruptcy in 2012  and 5 pending judgment/liens. He is…

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  • Robert Rex, Esq.

Johnathan W. McHale-Former PHX Financial Broker-Makes Numersous Diclosures On FINRA Record
Johnathan W. McHale-Former PHX Financial Broker-Makes Numersous Diclosures On FINRA Record 150 150 Robert Rex, Esq.

New York According to FINRA records,  Johnathan W. McHale ,   a stock broker  formerly employed by PHX Financial , discloses seven final customer disputes, a termination and 7 pending judgment/liens. The Financial Industry Regulatory Authority (FINRA) is the agency…

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  • Robert Rex, Esq.

Morgan Stanley Ordered By FINRA Panel to Pay $8.6 Million to Customer
Morgan Stanley Ordered By FINRA Panel to Pay $8.6 Million to Customer 150 150 Robert Rex, Esq.

Los Angeles, CA In an arbitration conducted by the Financial Industry Regulatory Authority (FINRA) Morgan Stanley was ordered to pay a retiree over $8.6 million in damages for unauthorized trading…

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  • Robert Rex, Esq.

Francesco A. Scarso-First Standard Financial Broker-Discloses Pending Customer Dispute-NY
Francesco A. Scarso-First Standard Financial Broker-Discloses Pending Customer Dispute-NY 150 150 Robert Rex, Esq.

New York MAY 2017 UPDATE–Francesco Scarso was permanently barred from the securities industry in 2/2017 for failing to respond to a request for information in connection with an investigation.  …

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  • Robert Rex, Esq.

Lucas Lichtman-Former Caldwell International Securities Broker-Sued by Securities Regulator
Lucas Lichtman-Former Caldwell International Securities Broker-Sued by Securities Regulator 150 150 Robert Rex, Esq.

Englewood Cliffs, New Jersey According to FINRA records,  Lucas D. Lichtman,   a stockbroker who was formerly employed by Caldwell International Securities, discloses  a pending regulatory investigation . The Financial Industry Regulatory Authority (FINRA) is the agency…

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  • Robert Rex, Esq.

Richard Lim-Former Caldwell International Securities Broker-Named in Regulatory Complaint-Englewood Cliffs, NJ
Richard Lim-Former Caldwell International Securities Broker-Named in Regulatory Complaint-Englewood Cliffs, NJ 150 150 Robert Rex, Esq.

Englewood Cliffs, New Jersey According to FINRA records,  Richard Lim,   a stockbroker who was formerly employed by Caldwell International Securities, discloses  a pending regulatory investigation and 3 presently outstanding judgement/liens . The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Paul Jacobs-Former Caldwell Securities Broker-Discloses Regulatory Action-Austin, TX
Paul Jacobs-Former Caldwell Securities Broker-Discloses Regulatory Action-Austin, TX 150 150 Robert Rex, Esq.

October 2017-Austin, Texas According to FINRA records,  Paul Jacobs,   a stockbroker who is currently  employed by Cape Securities, discloses  a prior regulatory sanction . The Financial Industry Regulatory Authority (FINRA) is the agency that licenses…

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  • Robert Rex, Esq.

Alex Etter-Former Caldwell International Securities Broker-Named in Regulatory Complaint
Alex Etter-Former Caldwell International Securities Broker-Named in Regulatory Complaint 150 150 Robert Rex, Esq.

Englewood Cliffs, New Jersey According to FINRA records,  Alex E. Etter,   a stockbroker who was formerly employed by Caldwell International Securities, discloses  a pending regulatory investigation . The Financial Industry Regulatory Authority (FINRA) is the agency…

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  • Robert Rex, Esq.

Greg Caldwell-Caldwell International Securities Broker-Discloses Regulatory Investigation
Greg Caldwell-Caldwell International Securities Broker-Discloses Regulatory Investigation 150 150 Robert Rex, Esq.

Austin, Texas OCTOBER 2017 UPDATE-Caldwell International Securities was expelled from the securities industry by FINRA January 2017. According to FINRA records,  Greg A. Caldwell,   a stockbroker who is currently  employed by Caldwell International…

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