• 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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  • Robert Rex, Esq.

Nicholas R. Radke-Lake Oswego Financial Advisor-Subject of $500K Elder Abuse/Fraud Suit-Klamath County, Oregon
Nicholas R. Radke-Lake Oswego Financial Advisor-Subject of $500K Elder Abuse/Fraud Suit-Klamath County, Oregon 150 150 Robert Rex, Esq.

August 2018-Klamath County, Oregon According to the Herald & News a lawsuit has been filed by the estate of a former resident of Bly, Oregon,  against American Independent Securities Group…

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  • Robert Rex, Esq.

Stephen Sullivan-Former Newbridge Securities Broker-Subject of $500K Customer Suit-Melville, NY
Stephen Sullivan-Former Newbridge Securities Broker-Subject of $500K Customer Suit-Melville, NY 150 150 Robert Rex, Esq.

August 2018-Melville, New York According to FINRA records,  Stephen J. Sullivan,   a stockbroker who currently works for SW Financial (formerly Salomon Whitney Financial) ,   discloses  a prior regulatory event, a pending customer dispute, a…

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  • Robert Rex, Esq.

John Maccoll Charged With Stealing Nearly $4 Million from UBS Customers-Birmingham, MI
John Maccoll Charged With Stealing Nearly $4 Million from UBS Customers-Birmingham, MI 150 150 Robert Rex, Esq.

August 2018-Birmingham, Michigan The FINRA records of  John C. Maccoll,  a  stock broker who was last employed by UBS Financial Services ,  disclose that he was recently discharged by UBS after failing to cooperate…

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  • Robert Rex, Esq.

Gabriel Claudio Sentenced to 25 Years For Defrauding Victims From Alice, TX
Gabriel Claudio Sentenced to 25 Years For Defrauding Victims From Alice, TX 150 150 Robert Rex, Esq.

August 2018-Corpus Christi, TX The Texas State Securities Board (TSSB) announced that Gabriel Claudio, Jr. was sentenced in the 79th District Court of Jim Wells County to 25 years  to…

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  • Robert Rex, Esq.

Edward A. Klug-Concierge Wealth Management-Discloses Numerous Tax Liens-Appleton, WI
Edward A. Klug-Concierge Wealth Management-Discloses Numerous Tax Liens-Appleton, WI 150 150 Robert Rex, Esq.

August 2018-Appleton, WI The FINRA records of  Edward A. Klug,  a  former stock broker who was last employed by Newbridge Securities ,  disclose 4 prior customer disputes, and 5 currently outstanding judgment/liens. The Financial…

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  • Robert Rex, Esq.

Michael J. Pepe-Ameriprise Broker-Subject of $750,000 Customer Suit-Tampa, FL
Michael J. Pepe-Ameriprise Broker-Subject of $750,000 Customer Suit-Tampa, FL 150 150 Robert Rex, Esq.

August 2018-Tampa, Florida The FINRA records of  Michael J. Pepe,  a  stock broker who is currently employed by Ameriprise Financial Services ,  disclose a recently filed customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…

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  • Robert Rex, Esq.

How to Recover Losses on American Finance Trust, Inc. (AFIN)-Formerly American Realty Capital Trust V
How to Recover Losses on American Finance Trust, Inc. (AFIN)-Formerly American Realty Capital Trust V 150 150 Robert Rex, Esq.

April 2019 If you invested  in American Realty Capital Trust V, now American Finance Trust, Inc. (AFIN), in 2013 and paid $25 per share, you may be surprised to know…

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  • Robert Rex, Esq.

Demos Argyros-Oppenheimer Broker-Discloses Settlement of Customer Suit-St. Louis, MO
Demos Argyros-Oppenheimer Broker-Discloses Settlement of Customer Suit-St. Louis, MO 150 150 Robert Rex, Esq.

March 2019-St. Louis, MO The FINRA records of  Demos Argyros (Demostenes Argyropoulos),  a  stock broker who is currently employed by Oppenheimer and Co. ,  disclose  4 prior customer disputes and one currently pending matter. The…

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