• Robert Rex, Esq.

Martin Noonan-Former BMA Securities Broker-Permanently Barred from FINRA-Discloses Customer Dispute & Outstanding Liens- El Segundo, CA
Martin Noonan-Former BMA Securities Broker-Permanently Barred from FINRA-Discloses Customer Dispute & Outstanding Liens- El Segundo, CA 150 150 Robert Rex, Esq.

July 2021- El Segundo, CA According to publicly available records, former BMA Securities  financial advisor Martin Noonan,  has been barred from FINRA and discloses a pending customer dispute and outstanding…

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  • Robert Rex, Esq.

Dennis James Murphy-Monmouth Capital Broker-Permanently Barred from FINRA- Discloses Customer Disputes and Liens- Red Bank, NJ
Dennis James Murphy-Monmouth Capital Broker-Permanently Barred from FINRA- Discloses Customer Disputes and Liens- Red Bank, NJ 150 150 Robert Rex, Esq.

July 2021- Red Bank, NJ According to publicly available records, former Monmouth Capital  financial advisor Dennis James Murphy,  has been barred from FINRA. The Financial Industry Regulatory Authority (FINRA) is the…

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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.

James Parrelly-Former Investment Planners Broker- Discloses 3 Regulatory Events, 7 Final Customer Disputes, 1 Pending Customer Dispute and a Termination-Dearborn, MI
James Parrelly-Former Investment Planners Broker- Discloses 3 Regulatory Events, 7 Final Customer Disputes, 1 Pending Customer Dispute and a Termination-Dearborn, MI 150 150 Robert Rex, Esq.

July 2021- Dearborn, MI According to publicly available records James Parrelly (CRD#728368), an unregistered broker who last worked for Investment Planners, Inc.,  discloses 3 regulatory events,  7 final customer disputes,…

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  • Robert Rex, Esq.

Donald Stephen Woods-Former LPL Financial Broker-Discloses a Regulatory Event, 11 Settled Customer Disputes and 1 Pending Customer Disputes-Louisville, KY
Donald Stephen Woods-Former LPL Financial Broker-Discloses a Regulatory Event, 11 Settled Customer Disputes and 1 Pending Customer Disputes-Louisville, KY 150 150 Robert Rex, Esq.

July  2021– Louisville, KY The FINRA records of Donald Stephen Woods,  a former stockbroker  who was last employed  by  Thurston Springer Financial , disclose  a final regulatory event, 11 settled customer disputes and…

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  • Robert Rex, Esq.

Michael Androulakis – Alexander Capital Broker- Discloses 2 Regulatory Events and 4 Customer Disputes- NYC
Michael Androulakis – Alexander Capital Broker- Discloses 2 Regulatory Events and 4 Customer Disputes- NYC 150 150 Robert Rex, Esq.

July 2021- NYC According to his FINRA record  Michael Androulakis, a financial advisor employed by Alexander Capital  discloses 2 regulatory events and 4 customer disputes. The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Richard Demetriou -Titan Securities Broker-Permanently Barred from FINRA- Addison, TX
Richard Demetriou -Titan Securities Broker-Permanently Barred from FINRA- Addison, TX 150 150 Robert Rex, Esq.

Richard Demetriou Investigation Former Titan Securities Financial Advisor June 2021 – Addison, TX According to publicly available records, former Titan Securities,  financial advisor Richard Demetriou,  has been barred from the securities…

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  • Robert Rex, Esq.

Richard L. Pittman-Cetera Advisors Broker-Discloses Settlement of Customer Suits-Memphis, TN
Richard L. Pittman-Cetera Advisors Broker-Discloses Settlement of Customer Suits-Memphis, TN 150 150 Robert Rex, Esq.

January 2021- Memphis, TN The FINRA records of Richard Lynn Pittman, a stockbroker employed by  Cetera Advisors, disclose  4 prior customer disputes . The Financial Industry Regulatory Authority (FINRA) is the agency…

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  • Robert Rex, Esq.

Jeffrey Alan Blutstein-Former Kestra Broker-Permanently Barred From FINRA-Holbrook, NY
Jeffrey Alan Blutstein-Former Kestra Broker-Permanently Barred From FINRA-Holbrook, NY 150 150 Robert Rex, Esq.

December  2020- Holbrook, NY According to publicly available records  Jeffrey Alan Blutstein (CRD#1398688), a  former stockbroker who last worked for American Portfolios Financial Services,  discloses a regulatory event and a…

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  • Robert Rex, Esq.

Charles Burchard-Former Allstate Financial Broker-Barred from Securities Industry-Spring, TX
Charles Burchard-Former Allstate Financial Broker-Barred from Securities Industry-Spring, TX 150 150 Robert Rex, Esq.

December 2020-Spring, TX According to publicly available records, former Allstate Financial Services, Inc.  financial advisor Charles Don Burchard has been barred from the securities industry. The Financial Industry Regulatory Authority (FINRA) is the…

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