• Robert Rex, Esq.

Tye C. Williams-Former NEXT Financial Group Broker-Named in $1M Customer Dispute-Frisco, TX
Tye C. Williams-Former NEXT Financial Group Broker-Named in $1M Customer Dispute-Frisco, TX 150 150 Robert Rex, Esq.

September 2017 – Frisco, Texas According to publicly available records  Tye C. Williams (CRD#1271046) , a former stockbroker  who was most recently employed by NEXT Financial Group , disclose  a regulatory event that resulted in…

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  • Robert Rex, Esq.

William F. Garbarino-Former Lincoln Financial Broker-Barred From Securities Industry-Danbury, CT
William F. Garbarino-Former Lincoln Financial Broker-Barred From Securities Industry-Danbury, CT 150 150 Robert Rex, Esq.

September 2017 – Danbury, CT According to publicly available records  William F. Garbarino (CRD#730278) , a former stockbroker  who was most recently employed by Lincoln Financial Advisors , disclose a termination from employment and…

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  • Robert Rex, Esq.

Michael O’Connor-Former Morgan Stanley Broker-Agrees to Bar from Securities Industry-Pepper Pike, OH
Michael O’Connor-Former Morgan Stanley Broker-Agrees to Bar from Securities Industry-Pepper Pike, OH 150 150 Robert Rex, Esq.

September 2017 – Pepper Pike, OH According to publicly available records  Michael J. O’Connor (CRD#5791343) , a former stockbroker  who was most recently employed by Morgan Stanley , disclose a termination from employment and a…

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  • Robert Rex, Esq.

Dave Nicolas-Garden State Securities Broker-Discloses Customer Dispute-Hackensack, NJ
Dave Nicolas-Garden State Securities Broker-Discloses Customer Dispute-Hackensack, NJ 150 150 Robert Rex, Esq.

August 2017 – Hackensack, NJ According to publicly available records  Dave Nicolas (CRD#5176405) , a former stockbroker  registered with Garden State Securities, Inc. , disclose a customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…

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  • Robert Rex, Esq.

Kelly G. Richards-First Allied Securities Broker-Discloses Prior Termination-Phoenix, AZ
Kelly G. Richards-First Allied Securities Broker-Discloses Prior Termination-Phoenix, AZ 150 150 Robert Rex, Esq.

August  2018- The FINRA records of  Kelly Gene Richards , (CRD 4918409),   a  stockbroker who is currently  employed by  First Allied Securities, disclose a prior termination from employment. The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

James Pheney-Former WFG Investments Broker-Discloses Pending Customer Dispute-Castle Rock,CO/Brenham, TX
James Pheney-Former WFG Investments Broker-Discloses Pending Customer Dispute-Castle Rock,CO/Brenham, TX 150 150 Robert Rex, Esq.

July 2017 -Castle Rock, CO-Brenham, Texas According to publicly available records James K. Pheney  (CRD#1272932) ,  a  stockbroker who currently is employed by Mid Atlantic Capital Corp. ,  disclose a pending customer dispute. The…

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  • Robert Rex, Esq.

Ernest Romer III-Former CoreCap Investments Broker-Alleged to Have Stolen Funds from Securities Customers-Sterling Heights, MI
Ernest Romer III-Former CoreCap Investments Broker-Alleged to Have Stolen Funds from Securities Customers-Sterling Heights, MI 150 150 Robert Rex, Esq.

APRIL 2018 UPDATE–The FINRA record of Ernest Romer III now discloses 15 pending customer disputes and 5 prior final customer disputes and 2 pending investigations. The investigations by Michigan Department…

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  • Robert Rex, Esq.

Rocco Lavista-Former Aegis Capital Corp. Broker-Discloses Customer Suits Alleging Churning – Iselin, NJ
Rocco Lavista-Former Aegis Capital Corp. Broker-Discloses Customer Suits Alleging Churning – Iselin, NJ 150 150 Robert Rex, Esq.

September 2019-Tinton Falls, NJ According to publicly available records Rocco J. Lavista (CRD#2784573) ,  a  currently unregistered stockbroker who was last registered with Arive Capital Markets , discloses settlement of 2 customer disputes. The Financial…

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  • Robert Rex, Esq.

Todd Allen Burnett-Oppenheimer & Co. Broker-Discloses Customer Dispute Alleging Churning – St. Louis, MO
Todd Allen Burnett-Oppenheimer & Co. Broker-Discloses Customer Dispute Alleging Churning – St. Louis, MO 150 150 Robert Rex, Esq.

August 2017 – St. Louis, MO According to publicly available records Todd Allen Burnett (CRD#2703620) ,  a  stockbroker who currently is employed by Oppenheimer & Co. ,  disclose a recently filed customer dispute. The Financial…

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  • Robert Rex, Esq.

Banca IMI Securities Pays $35M to Resolve SEC Issue
Banca IMI Securities Pays $35M to Resolve SEC Issue 150 150 Robert Rex, Esq.

August 2017 The US Securities and Exchange Commission (SEC) announced that brokerage firm Banca IMI Securities Corp. (BISC) agreed to pay over $35 million to settle charges that it violated…

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