• Robert Rex, Esq.

Michael P. McMahon -Former National Securities Corp Stockbroker-Discloses Pending Customer Disputes-NY
Michael P. McMahon -Former National Securities Corp Stockbroker-Discloses Pending Customer Disputes-NY 150 150 Robert Rex, Esq.

Garden City, New York MAY 2017 UPDATE–MCMahon’s FINRA record discloses 5 pending and 11 final customer disputes. In 11/2016 FINRA case 15-1558 was settled for $400,000 to resolve allegations by…

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  • Robert Rex, Esq.

Larry C. Wolfe-Former Herbert J. Sims Stockbroker-Sued by Customers/Discharged & Barred From Securities Industry-Boca Raton, FL
Larry C. Wolfe-Former Herbert J. Sims Stockbroker-Sued by Customers/Discharged & Barred From Securities Industry-Boca Raton, FL 150 150 Robert Rex, Esq.

MAY 2018 UPDATE ON LARRY WOLFE-BOCA RATON, FL-FINRA records disclose that Wolfe was permanently barred from securities industry in 2/2018 for failing to respond to FINRA request for information. In…

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  • Robert Rex, Esq.

Salvatore Gioe- Former PHX Financial Broker-Barred From Securities Industry
Salvatore Gioe- Former PHX Financial Broker-Barred From Securities Industry 150 150 Robert Rex, Esq.

February 2019- New York The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints…

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  • Robert Rex, Esq.

Robert E. Gill-Chelsea Financial Services-Reports 18 Disclosure Events on FINRA Record-Tinton Falls, NJ
Robert E. Gill-Chelsea Financial Services-Reports 18 Disclosure Events on FINRA Record-Tinton Falls, NJ 150 150 Robert Rex, Esq.

Tinton Falls, NJ The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and…

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  • Robert Rex, Esq.

Denise A. Cerveny Discloses Termination from Regal Securities
Denise A. Cerveny Discloses Termination from Regal Securities 150 150 Robert Rex, Esq.

Secaucus, NJ The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes…

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  • Robert Rex, Esq.

Pranav Patel-Former Dawson James Broker-Indicted for Securities Fraud-Boca Raton
Pranav Patel-Former Dawson James Broker-Indicted for Securities Fraud-Boca Raton 150 150 Robert Rex, Esq.

UPDATE June 2016–Pranav Patel named in civil action seeking damages related to sale of ForceField Energy, Inc. Follow this link for more information.  May 2016-Boca Raton, FL The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Maroof Miyana-Former Legend Securities Broker-Indicted on Securities Fraud Charges
Maroof Miyana-Former Legend Securities Broker-Indicted on Securities Fraud Charges 150 150 Robert Rex, Esq.

May 2016-Pompano Beach, FL The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and…

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  • Robert Rex, Esq.

Florence Simeon Permitted to Resign from Alexander Capital-Suspected of Falsifying Customer Documents
Florence Simeon Permitted to Resign from Alexander Capital-Suspected of Falsifying Customer Documents 150 150 Robert Rex, Esq.

May 2016- New York The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes…

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  • Robert Rex, Esq.

Laurence M. Torres -Former Alexander Capital/First Standard Financial Stockbroker Accused of High Pressure Sales
Laurence M. Torres -Former Alexander Capital/First Standard Financial Stockbroker Accused of High Pressure Sales 150 150 Robert Rex, Esq.

MAY 2018 UPDATE-LAURENCE TORRES BARRED FROM SECURITIES INDUSTRY-ACCUSED OF HIGH PRESSURE SALES. See this for details. ORIGINAL POST May 2016- Staten Island, NY The Financial Industry Regulatory Authority (FINRA) is the agency…

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