• Robert Rex, Esq.

Lennie Freiman-Former Caldwell International Securities Broker-Discloses Regulatory Investigation
Lennie Freiman-Former Caldwell International Securities Broker-Discloses Regulatory Investigation 150 150 Robert Rex, Esq.

San Antonio, Texas According to FINRA records,  Lennie S. Freiman,   a stockbroker who most recently worked for Caldwell International Securities, but who is not currently registered with any firm,  discloses  a pending regulatory investigation and…

read more
  • Robert Rex, Esq.

Michael P. Lessard-Former MetLife Securities Broker-Discloses Regulatory Suspension
Michael P. Lessard-Former MetLife Securities Broker-Discloses Regulatory Suspension 150 150 Robert Rex, Esq.

Charlotte, North Carolina According to FINRA records,  Michael P. Lessard, Jr.,   a stockbroker who currently works for Southeast Investments,  discloses  a regulatory investigation and a discharge from a prior firm. The Financial Industry Regulatory Authority…

read more
  • Robert Rex, Esq.

Frank D. Marinelli-Former J.P. Turner Broker-Discloses Two Pending Customer Disputes
Frank D. Marinelli-Former J.P. Turner Broker-Discloses Two Pending Customer Disputes 150 150 Robert Rex, Esq.

Staten Island, New York According to FINRA records,  Frank D. Marinelli,   a stockbroker who currently works for Southeast Investments,  discloses  two pending customer disputes, a termination, two pending judgment/liens and two final customer…

read more
  • Robert Rex, Esq.

Wayne Kirk-Former Reef Securities Broker-Discloses Settlement of Customer Dispute-Richardson,TX
Wayne Kirk-Former Reef Securities Broker-Discloses Settlement of Customer Dispute-Richardson,TX 150 150 Robert Rex, Esq.

MAY 2018 UPDATE–Wayne Kirk has not been registered as a stockbroker since leaving Reef Securities in 4/2017. FINRA Arbitration 16-0307, discussed below, was settled 2/2017 for $60,000. ORIGINAL POST JUNE…

read more
  • Robert Rex, Esq.

Douglas J. Williams-VFinance Investments Broker-Discloses $2.5M Customer Dispute-The Woodlands, TX
Douglas J. Williams-VFinance Investments Broker-Discloses $2.5M Customer Dispute-The Woodlands, TX 150 150 Robert Rex, Esq.

The Woodlands, Texas MAY 2017 UPDATE-In September 2016, the customer who filed FINRA arbitration 15-0049, see below,  was paid $420,000 to settle the matter. ORIGINAL POST JUNE 2016– According to FINRA…

read more
  • Robert Rex, Esq.

Craig R. Wirth Discloses Discharge From SWS Financial
Craig R. Wirth Discloses Discharge From SWS Financial 150 150 Robert Rex, Esq.

Addison, Texas According to FINRA records,  Craig R. Wirth ,   a stockbroker who currently works for Cambridge Investment Research.   discloses  an Employment Separation After Allegation event. The Financial Industry Regulatory Authority (FINRA) is the agency…

read more
  • Robert Rex, Esq.

Terry W. Chilton-Former IMS Securities Broker-Discloses Regulatory Investigation/Customer Dispute
Terry W. Chilton-Former IMS Securities Broker-Discloses Regulatory Investigation/Customer Dispute 150 150 Robert Rex, Esq.

June 2016—-Beaumont, Texas According to FINRA records,  Terry W. Chilton ,   a stockbroker who formerly was employed by IMS Securities.   discloses  a pending regulatory investigation and a pending customer dispute. In June 2015, a FINRA…

read more
  • Robert Rex, Esq.

Matthew J. Ronan-ViewTrade Securities Broker-Discloses Pending Regulatory Investigation
Matthew J. Ronan-ViewTrade Securities Broker-Discloses Pending Regulatory Investigation 150 150 Robert Rex, Esq.

Boca Raton, Florida According to FINRA records, Matthew J. Ronan ,  a stock broker who works for ViewTrade Securities  discloses  a customer dispute that has been finalized and a pending regulatory investigation. The Financial…

read more
  • Robert Rex, Esq.

Alan R. Pacella-ViewTrade Securities Broker-Discloses Pending Investigation
Alan R. Pacella-ViewTrade Securities Broker-Discloses Pending Investigation 150 150 Robert Rex, Esq.

Boca Raton, Florida According to FINRA records, Alan R. Pacella ,  a stock broker who works for ViewTrade Securities  discloses a regulatory matter that has been finalized , a customer dispute that has been finalized…

read more
Enter your
text here

You cannot copy content of this page