• Robert Rex, Esq.

Greg O’Brien-Former Aegis Capital Broker-Discloses Customer Disputes and Tax Liens-Boca Raton, FL
Greg O’Brien-Former Aegis Capital Broker-Discloses Customer Disputes and Tax Liens-Boca Raton, FL 150 150 Robert Rex, Esq.

January 2020-Boca Raton, FL The FINRA records of  Gregory Spencer O’Brien,  a  stockbroker who was formerly employed by Aegis Capital Corp. disclose 2 pending customer disputes , 3 prior final customer disputes and…

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  • Robert Rex, Esq.

Matthew Singer- Former Morgan Stanley Broker-Customer Suits Over Option Investments- Aventura, FL
Matthew Singer- Former Morgan Stanley Broker-Customer Suits Over Option Investments- Aventura, FL 150 150 Robert Rex, Esq.

January 2020 – Aventura, FL The FINRA records of  Matthew Singer,  a  broker previously employed by Morgan Stanley Smith Barney disclose 3 prior customer disputes and a regulatory event. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Michael Polyakov- Westpark Capital Broker-Discloses Customer Disputes – Boca Raton, FL
Michael Polyakov- Westpark Capital Broker-Discloses Customer Disputes – Boca Raton, FL 150 150 Robert Rex, Esq.

March 2018 – Boca Raton, FL According to publicly available records Michael Polyakov, (CRD# 734810) ,  a  stockbroker who is currently employed by Westpark Capital ,  disclose 3 prior settled customer disputes . The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Alex G. Herrera-Former UBS Broker-Accused of Stealing Client Money in $7M Investor Suit-Coral Gables, FL
Alex G. Herrera-Former UBS Broker-Accused of Stealing Client Money in $7M Investor Suit-Coral Gables, FL 150 150 Robert Rex, Esq.

March 2019 – Coral Gables, FL According to FINRA records,  Alex Gerardo Herrera,   a former stockbroker who  last worked for USB Financial Services,  discloses 2 prior regulatory events , a current customer dispute…

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  • Robert Rex, Esq.

Scott D. Williams-Former LPL / Raymond James Broker- Discloses Termination For Discretionary Trading & Customer Suit for Churning- Franklin, TN
Scott D. Williams-Former LPL / Raymond James Broker- Discloses Termination For Discretionary Trading & Customer Suit for Churning- Franklin, TN 150 150 Robert Rex, Esq.

October 2020 – Franklin, TN The FINRA records of Scott Douglas Williams, who last worked for LPL Financial is not currently registered as a broker,  disclose  a pending customer dispute, 2 prior…

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  • Robert Rex, Esq.

Daniel Gamache- Former UBS Broker- Discloses 2 Customer Disputes- Denver, CO
Daniel Gamache- Former UBS Broker- Discloses 2 Customer Disputes- Denver, CO 150 150 Robert Rex, Esq.

August 2018- Denver, CO The FINRA records of Daniel Gamache,  a stockbroker who is not currently employed and who last worked for UBS Financial Services in Denver, CO, discloses two pending…

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  • Robert Rex, Esq.

Trustmont Financial Group Ordered to Pay Customer $1M-Tampa, FL
Trustmont Financial Group Ordered to Pay Customer $1M-Tampa, FL 150 150 Robert Rex, Esq.

August 2018-Tampa, Florida A panel of FINRA arbitrators ordered Trustmont Financial Group to pay a former customer more than one million dollars for violations of Florida securities laws, breach of…

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  • Robert Rex, Esq.

Eric Stuckey-Cornerstone Private Client Group-Discloses Customer Suits-Suwanee, GA
Eric Stuckey-Cornerstone Private Client Group-Discloses Customer Suits-Suwanee, GA 150 150 Robert Rex, Esq.

August 2018-Suwanee, Georgia The FINRA records of  Eric Todd Stuckey ,  a  stockbroker who formerly worked for  Invest Financial  disclose a pending customer suit,  4 prior customer disputes and 2 currently outstanding judgment/liens. The…

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  • Robert Rex, Esq.

Scott Kozak-Former Cetera Advisors Broker-Subject of Regulatory Investigation-Highland Ranch, CO
Scott Kozak-Former Cetera Advisors Broker-Subject of Regulatory Investigation-Highland Ranch, CO 150 150 Robert Rex, Esq.

September 2019-Highland Ranch, CO The FINRA records of  Scott P. Kozak ,  a  unregistered broker who was last employed by  Cetera Advisors disclose  a recent regulatory event, 4 prior customer disputes  and…

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