• Robert Rex, Esq.

Joseph Michaletz-DAI Securities Advisor-Discloses Customer Disputes Over LP’s & Direct Investments-Mankato, MN
Joseph Michaletz-DAI Securities Advisor-Discloses Customer Disputes Over LP’s & Direct Investments-Mankato, MN 150 150 Robert Rex, Esq.

Joseph Michaletz Investigation November 2021-Mankato, MN According to publicly available records Joseph G. Michaletz  ,  a  stockbroker who is currently registered with DAI Securities,  disclose 3 currently pending customer disputes…

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Eladio Arturo Santiago – Cambridge Investment Research Broker- Discloses Two Settled Customer Disputes – Fulton, MD
Eladio Arturo Santiago – Cambridge Investment Research Broker- Discloses Two Settled Customer Disputes – Fulton, MD 150 150 ER

Eladio Santiago Investigation November 2021- Fulton, MD According to publicly available records Eladio Arturo Santiago,  a broker with Cambridge Investment Research broker discloses 2 customer disputes. The Financial Industry Regulatory Authority…

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Richard Mukomela- MML Investors Services Broker-Subject of Customer Suit-Plymouth, MN
Richard Mukomela- MML Investors Services Broker-Subject of Customer Suit-Plymouth, MN 150 150 ER

Richard Mukomela Investigation November 2021-Plymouth, MN According to publicly available records Richard Duane Mukomela, (CRD# 4370556), a broker with MML Investors Services,  discloses a settled customer dispute and a pending customer…

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John Swon, IV- Former Royal Alliance Broker-Barred From Industry by Securities Regulator-Bloomington, MN
John Swon, IV- Former Royal Alliance Broker-Barred From Industry by Securities Regulator-Bloomington, MN 150 150 ER

John Swon IV Investigation November 2021- Bloomington, MN  The FINRA records of  John Swon, IV ,  a  former financial advisor who was last employed by  Royal Alliance Associates, Inc., disclose a…

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William Cerf- UBS Broker- Customers seek $16.5 Million in Pending Disputes-New York, NY
William Cerf- UBS Broker- Customers seek $16.5 Million in Pending Disputes-New York, NY 150 150 ER

November 2021- New York, NY According to publicly available records,  William Cerf a broker with UBS Financial Services, discloses 6 pending customer disputes seeking millions of dollars. The Financial Industry…

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  • Robert Rex, Esq.

Maxim Beliakov- Former Garden State Securities Broker- Suspended by Regulator for Churning-Red Bank, NJ
Maxim Beliakov- Former Garden State Securities Broker- Suspended by Regulator for Churning-Red Bank, NJ 150 150 Robert Rex, Esq.

Maxim Beliakov Investigation November  2021-Red Bank, NJ According to publicly available records. Maxim Beliakov , a stockbroker formerly employed by Garden State Securities and Woodstock Financial Group  discloses a regulatory suspension. The…

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  • Robert Rex, Esq.

Aegis Capital Corp. Fined $2.8M – Regulator Alleges Excessive Trading by Brokers
Aegis Capital Corp. Fined $2.8M – Regulator Alleges Excessive Trading by Brokers 150 150 Robert Rex, Esq.

Aegis Capital Corp. Investigation November 2021 Aegis Capital was fined nearly $3 million dollars by FINRA for allegedly excessive trading in customer accounts. According to the Letter of Acceptance, Waiver…

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  • Robert Rex, Esq.

Greg Estes-Former SA Stone Wealth Mgmt. Broker-Discloses Pending Criminal Charge- San Angelo, TX
Greg Estes-Former SA Stone Wealth Mgmt. Broker-Discloses Pending Criminal Charge- San Angelo, TX 150 150 Robert Rex, Esq.

Gregory F. Estes Investigation July 2021 -San Angelo, TX The FINRA records of Gregory F.  Estes  , a stockbroker who is not currently registered with any broker dealer, and who was last…

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  • Robert Rex, Esq.

Curt L. Howard-Former Edward Jones Broker-Subject of $1M Customer Suit- Sapulpa, OK
Curt L. Howard-Former Edward Jones Broker-Subject of $1M Customer Suit- Sapulpa, OK 150 150 Robert Rex, Esq.

Curt Howard Investigation November 2021-Sapulpa, OK According to publicly available records Curtis Lee Howard ,  a   stockbroker who formerly worked for Edward Jones and who  is currently registered with Level Four Financial,…

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  • Robert Rex, Esq.

Brad Brooks-Titan Securities Broker-Discloses Regulatory Investigation-Addison, TX
Brad Brooks-Titan Securities Broker-Discloses Regulatory Investigation-Addison, TX 150 150 Robert Rex, Esq.

Brad Brooks Investigation November 2021- Addison, Texas The FINRA records of  Brad C. Brooks ,  a   broker who is employed by  Titan Securities  disclose a currently pending regulatory investigation, 6 prior final customer…

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