• Robert Rex, Esq.

Ft. Lauderdale Man Charged with Defrauding Retiree of Retirement Savings
Ft. Lauderdale Man Charged with Defrauding Retiree of Retirement Savings 150 150 Robert Rex, Esq.

November 2019- Ft. Lauderdale, FL According to a recent press release from the United States Attorney’s Office for the Southern District of Florida, Michael Jerome Atkins, 60, was arraigned on…

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  • Robert Rex, Esq.

Douglas Lee-Former Worden Capital Management Broker-Discloses Customer Disputes-Garden City, NY
Douglas Lee-Former Worden Capital Management Broker-Discloses Customer Disputes-Garden City, NY 150 150 Robert Rex, Esq.

November 2019 – Garden City, NY The FINRA records of Douglas Lee , a stockbroker who was last employed by  Worden Capital Management , disclose a pending customer dispute and  3 prior customer disputes. The…

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  • Robert Rex, Esq.

Bradley Mascho-Former Western International Securities Broker- Charged with Securities Fraud- Frederick, MD
Bradley Mascho-Former Western International Securities Broker- Charged with Securities Fraud- Frederick, MD 150 150 Robert Rex, Esq.

November 2019 – Frederick, MD The FINRA records of Bradley Mascho  , a currently unregistered stockbroker who was last employed by  Western International Securities, discloses 2 regulatory events , a criminal event, a civil event,…

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  • Robert Rex, Esq.

Herbert “Elias” Hafen-Former Morgan Stanley Broker-Pleads Guilty to Fraud- New York, NY
Herbert “Elias” Hafen-Former Morgan Stanley Broker-Pleads Guilty to Fraud- New York, NY 150 150 Robert Rex, Esq.

November  2019- New York, NY The FINRA records of  Herbert “Elias” Hafen ,  a  financial advisor previously employed by  Morgan Stanley, disclose a prior regulatory event,  a pending criminal matter, a…

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  • Robert Rex, Esq.

Shawn B. Davis-Former Independent Financial Group Broker-Discloses 6 Pending Customer Disputes And A Prior Customer Dispute – Auburn, CA
Shawn B. Davis-Former Independent Financial Group Broker-Discloses 6 Pending Customer Disputes And A Prior Customer Dispute – Auburn, CA 150 150 Robert Rex, Esq.

October 2019 – Auburn, CA The FINRA records of Shawn Bruce Davis  , a stockbroker who was last employed by  Independent Financial Group , disclose 6 pending customer disputes and  2 prior customer disputes. The Financial…

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  • Robert Rex, Esq.

Nicholas Schiano- Spartan Capital Securities Broker-Discloses Two Customer Disputes-New York, NY
Nicholas Schiano- Spartan Capital Securities Broker-Discloses Two Customer Disputes-New York, NY 150 150 Robert Rex, Esq.

October 2019, New York, NY According to publicly available records Nicholas James Schiano (CRD#4429212) ,  a  stockbroker who currently is employed by Spartan Capital Securities,   discloses 1  prior customer dispute and…

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  • Robert Rex, Esq.

Yvonne L. Silguero-LPL Financial Broker-Subject of $500K Customer Suit-McAllen, TX
Yvonne L. Silguero-LPL Financial Broker-Subject of $500K Customer Suit-McAllen, TX 150 150 Robert Rex, Esq.

January 2020-McAllen & Brownsville,  TX  According to publicly available records Yvonne L. Silguero (CRD#4895654) ,  a  stockbroker  who works for LPL FInancial discloses 2 pending customer disputes. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

John Dunn Gordinier – Broker With J.J.B. Hilliard, W.L. Lyons – Discloses $100K Settlement of Customer Suit- Louisville, KY
John Dunn Gordinier – Broker With J.J.B. Hilliard, W.L. Lyons – Discloses $100K Settlement of Customer Suit- Louisville, KY 150 150 Robert Rex, Esq.

October 2019- Louisville, KY According to publicly available records John Dunn Gordinier (CRD#2363965) ,  a  stockbroker  currently registered with J.J.B. Hilliard, W.L. Lyons  discloses a  recently settled customer dispute involving energy investments.…

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  • Robert Rex, Esq.

Erik Pica-Joseph Stone Capital Broker-Discloses Customer Disputes & FINRA Investigation- New York, NY
Erik Pica-Joseph Stone Capital Broker-Discloses Customer Disputes & FINRA Investigation- New York, NY 150 150 Robert Rex, Esq.

October 2019 – New York, New York The FINRA records of Erik Patrick Pica  , a  stockbroker who is employed by Joseph Stone Capital , disclose 3 pending customer dispute, 4 prior customer disputes and a…

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  • Robert Rex, Esq.

Jack D. Stone-Former Forest Securities Broker-Discloses Customer Disputes & Regulatory Issues-Hillside, IL
Jack D. Stone-Former Forest Securities Broker-Discloses Customer Disputes & Regulatory Issues-Hillside, IL 150 150 Robert Rex, Esq.

September 2019 – Hillside, IL The FINRA records of Jack David Stone  , a former stockbroker who was last employed by  Forest Securities, Inc. , disclose 4 regulatory events, 1 pending customer dispute, 2 prior customer…

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