• Robert Rex, Esq.

Rory Powell-Network 1 Financial Securities Broker-Discloses Pending Customer Disputes
Rory Powell-Network 1 Financial Securities Broker-Discloses Pending Customer Disputes 150 150 Robert Rex, Esq.

February 2017-Syosset, NY According to publicly available records Rory Powell  , (CRD# 5430493) ,  a   stockbroker who is employed by Network 1 Financial Securities, discloses two  pending customer disputes. The Financial Industry…

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  • Robert Rex, Esq.

Patrick C. Gugliotta-Former K.C. Ward Broker-Discloses Pending Customer Dispute
Patrick C. Gugliotta-Former K.C. Ward Broker-Discloses Pending Customer Dispute 150 150 Robert Rex, Esq.

July 2016-Ronkonkoma, NY According to publicly available records Patrick C. Gugliotta  , (CRD# 5033421) ,  a   stockbroker who was formerly employed by K.C. Ward Financial, discloses a  pending customer dispute. The Financial Industry…

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  • Robert Rex, Esq.

Carlos N. Evertsz-Seda-K.C. Ward Financial Broker-Discloses Customer Dispute
Carlos N. Evertsz-Seda-K.C. Ward Financial Broker-Discloses Customer Dispute 150 150 Robert Rex, Esq.

January 2016-Ronkonkoma, NY According to publicly available records Carlos N. Evertsz-Seda  , (CRD# 4285605) ,  a   stockbroker who is currently employed by K.C. Ward Financial, discloses a  pending customer dispute. The…

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  • Robert Rex, Esq.

Mark Varacchi and Sentinel Growth Fund Management Accused of Theft by Regulators
Mark Varacchi and Sentinel Growth Fund Management Accused of Theft by Regulators 150 150 Robert Rex, Esq.

February 2017- Washington The Securities and Exchange Commission (SEC) charged Sentinel Growth Fund Management and its founder Mark J. Varacchi with stealing money from investors to settle a private lawsuit,…

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  • Robert Rex, Esq.

Securities Regulators Fine 12 Firms over $14 million for Failing to Protect Records
Securities Regulators Fine 12 Firms over $14 million for Failing to Protect Records 150 150 Robert Rex, Esq.

December 2016- Washington In a News Release, the Financial Industry Regulatory Authority (FINRA) announced that the following firms were fined a total of $14.4 million for deficiencies relating to the…

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  • Robert Rex, Esq.

Nicolaas P. Pronk-Noble Capital Named in Complaint Over Sale of AdCare Health Systems Stock-Boca Raton, FL
Nicolaas P. Pronk-Noble Capital Named in Complaint Over Sale of AdCare Health Systems Stock-Boca Raton, FL 150 150 Robert Rex, Esq.

November 2016-Boca Raton, FL According to publicly available records Nicolaas P. Pronk , (CRD# 1726101) ,  a  stockbroker who is employed by  Noble Capital Markets,  disclose  a pending regulatory matter. The Financial Industry Regulatory Authority (FINRA) is the agency…

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  • Robert Rex, Esq.

Neal & Natalie Moon-Former Waddell & Reed Brokers-Named in Regulatory Complaint-Dallas, TX
Neal & Natalie Moon-Former Waddell & Reed Brokers-Named in Regulatory Complaint-Dallas, TX 150 150 Robert Rex, Esq.

July 2016- Dallas, TX FINRA Department of Enforcement filed Disciplinary Proceeding 2015046926801 against Neal Charles Moon (CRD 3271716) and his wife Natalie E. Fogiel Moon (CRD 5010360) alleging that from…

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  • Robert Rex, Esq.

Douglas W. Studer-Former Kovack Securities Broker-Barred by Securities Regulator-Ft. Lauderdale, FL
Douglas W. Studer-Former Kovack Securities Broker-Barred by Securities Regulator-Ft. Lauderdale, FL 150 150 Robert Rex, Esq.

February 2017-Ft. Lauderdale, FL According to publicly available records Douglas W. Studer , (CRD# 4440047) ,  a  former stockbroker who was last employed by Kovack Securities, disclose that he was permanently barred by…

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  • Robert Rex, Esq.

David H. Fagenson-Former UBS Broker-Discloses Suspension, Termination and Customer Disputes-Palm Beach, FL
David H. Fagenson-Former UBS Broker-Discloses Suspension, Termination and Customer Disputes-Palm Beach, FL 150 150 Robert Rex, Esq.

December 2018-Palm Beach, FL According to publicly available records David H. Fagenson , (CRD# 1652012) ,  a  stockbroker who is currently registered with Newbridge Securities disclose a recent regulatory sanction, 2 pending customer disputes, 9…

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  • Robert Rex, Esq.

Brett S. Murphy-Former Oppenheimer Broker-Discloses $2M Pending Customer Dispute-Boca Raton, FL
Brett S. Murphy-Former Oppenheimer Broker-Discloses $2M Pending Customer Dispute-Boca Raton, FL 150 150 Robert Rex, Esq.

February 2017-Boca Raton, FL According to publicly available records Brett S. Murphy , (CRD# 2434384) ,  a  stockbroker who is currently registered with Revere Securities, LLC  disclose a pending customer dispute.  The Financial Industry Regulatory Authority…

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