• Robert Rex, Esq.

Sara R. Bohn-Former VSR Financial Services Broker-Discloses Termination from Employment-Christiansburg, VA
Sara R. Bohn-Former VSR Financial Services Broker-Discloses Termination from Employment-Christiansburg, VA 150 150 Robert Rex, Esq.

April 2017-Christiansburg, VA The FINRA records of  Sara R. Bohn ,  a  stockbroker who is currently  employed by  First Citizens Investor Services  disclose a termination from employment. The Financial Industry Regulatory Authority (FINRA) is the…

read more
  • Robert Rex, Esq.

Vincent P. Afflixio-Morgan Stanley Broker-Discloses $500K Customer Dispute-Hauppauge, NY
Vincent P. Afflixio-Morgan Stanley Broker-Discloses $500K Customer Dispute-Hauppauge, NY 150 150 Robert Rex, Esq.

May 2017-Hauppauge, NY According to publicly available records Vincent P. Afflixio, Jr. , (CRD#1043147 ) ,  a  stockbroker who is currently registered with Morgan Stanley discloses a pending customer dispute. The Financial Industry Regulatory Authority…

read more
  • Robert Rex, Esq.

Tom (Gil) Parks, Jr.-Former Ameriprise Broker-Discloses Numerous Customer Disputes Over Oil & Gas & Annuity Investments-Stephenville, TX
Tom (Gil) Parks, Jr.-Former Ameriprise Broker-Discloses Numerous Customer Disputes Over Oil & Gas & Annuity Investments-Stephenville, TX 150 150 Robert Rex, Esq.

See this for JULY 2018 UPDATE JULY 2017-Stephenville, TX  According to publicly available records Tom Gilliam Parks, Jr. , (CRD#1558909) ,  a  stockbroker who is not currently registered and who last was employed…

read more
  • Robert Rex, Esq.

Leslie R. Rosenblatt of Texas Financial Resources Discloses Customer Dispute/Termination of Employment-Plano, TX
Leslie R. Rosenblatt of Texas Financial Resources Discloses Customer Dispute/Termination of Employment-Plano, TX 150 150 Robert Rex, Esq.

April 2017-Plano, TX The FINRA records of  Leslie R. Rosenblatt ,  a  stockbroker who is currently registered with SCF Securities disclose a pending customer dispute and a termination from employment. The Financial Industry Regulatory…

read more
  • Robert Rex, Esq.

Rebecca H. True of True Capital Advisors Discloses Customer Dispute Over Alternative Investments-
Rebecca H. True of True Capital Advisors Discloses Customer Dispute Over Alternative Investments- 150 150 Robert Rex, Esq.

April 2017-Orlando, FL The FINRA records of  Rebecca H. True ,  a  stockbroker who is currently registered with Triad Advisors disclose a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that…

read more
  • Robert Rex, Esq.

Scott V. Kaup-Former VSR Financial Services Broker-Discloses $1M+ Customer Dispute-Stuart, NE
Scott V. Kaup-Former VSR Financial Services Broker-Discloses $1M+ Customer Dispute-Stuart, NE 150 150 Robert Rex, Esq.

April 2017-Stuart, NE The FINRA records of  Scott V. Kaup ,  a  stockbroker who was formerly  employed by  VSR Financial Services  disclose a pending customer dispute involving alternative investments. The Financial Industry Regulatory Authority…

read more
  • Robert Rex, Esq.

David S. Silberg-Former Aegis Capital Broker-Discloses Customer Complaints-Port Washington, NY
David S. Silberg-Former Aegis Capital Broker-Discloses Customer Complaints-Port Washington, NY 150 150 Robert Rex, Esq.

September 2019-Port Washington, NY-Tampa, FL The FINRA records of  David S. Silberg ,  a  broker who previously worked for  Aegis Capital Corp.   disclose a prior regulatory event,  3 prior final customer disputes and…

read more
  • Robert Rex, Esq.

Walter J. Marino-Former Legend Equities Broker-Discloses Regulatory Event and Numerous Customer Disputes
Walter J. Marino-Former Legend Equities Broker-Discloses Regulatory Event and Numerous Customer Disputes 150 150 Robert Rex, Esq.

April 2017- The FINRA records of  Walter J. Marino ,  a  former Legend Equities stockbroker who is currently not registered disclose a pending regulatory matter, 3 pending customer disputes, 9 prior final customer disputes, and 3…

read more
  • Robert Rex, Esq.

Raymond James to Purchase Scout Investments for $172M-St. Petersburg, FL
Raymond James to Purchase Scout Investments for $172M-St. Petersburg, FL 150 150 Robert Rex, Esq.

April 2017- St. Petersburg, FL Raymond James announced that they reached a deal with UMB Financial Corp (NASDAQ: UMBF) to purchase Scout Investments and its Reams Asset Management division. According…

read more
  • Robert Rex, Esq.

John Fenimore-Former Aegis Capital Broker-Discloses Customer Disputes Alleging Unsuitable Use of Margin-Hauppauge, NY
John Fenimore-Former Aegis Capital Broker-Discloses Customer Disputes Alleging Unsuitable Use of Margin-Hauppauge, NY 150 150 Robert Rex, Esq.

April 2017- Hauppauge, NY The FINRA records of  John David Fenimore ,  a  former Aegis Capital stockbroker who is currently not registered disclose a pending customer dispute and a prior customer dispute that has been settled.…

read more
Enter your
text here

You cannot copy content of this page