Ladenburg Thalmann complaint

  • Robert Rex, Esq.

Daniel J. O’Neill-Aegis Capital Broker-Discloses Pending Customer Dispute and Outstanding Liens
Daniel J. O’Neill-Aegis Capital Broker-Discloses Pending Customer Dispute and Outstanding Liens 150 150 Robert Rex, Esq.

July 2016-Melville, New York The FINRA records of Daniel J. O’Neill ,  a  stock broker currently employed  by Aegis Capital Corp. , disclose a pending customer dispute, a prior final financial event and 3 outstanding judgment/liens. The…

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  • Robert Rex, Esq.

Robert L. Rosenstein-Moody Capital Solutions Broker-Discloses Judgements/Liens
Robert L. Rosenstein-Moody Capital Solutions Broker-Discloses Judgements/Liens 150 150 Robert Rex, Esq.

Dawsonville, Georgia According to FINRA records,  Robert L. Rosenstein ,   a stock broker  formerly employed by Ladenburg, Thalmann & Co. , discloses the discharge from a Chapter 7 bankruptcy in 2012  and 5 pending judgment/liens. He is…

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  • Robert Rex, Esq.

Casey J. Alexander,Former Gilford Securities Broker-Named in Customer Arbitration
Casey J. Alexander,Former Gilford Securities Broker-Named in Customer Arbitration 150 150 Robert Rex, Esq.

New York According to FINRA records, Casey J. Alexander, a broker who formerly worked for Gilford Securities , discloses 3 customer disputes, 2 of which have been finalized and one of which…

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  • Robert Rex, Esq.

Samuel D. Wyman, Jr-Former Gilford Securities Broker-Named in Customer Dispute
Samuel D. Wyman, Jr-Former Gilford Securities Broker-Named in Customer Dispute 150 150 Robert Rex, Esq.

Westhampton Beach, New York According to FINRA records, Samuel D. Wyman, Jr., a broker who formerly worked for Gilford Securities , discloses 3 customer disputes, 2 of which have been finalized and…

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  • Robert Rex, Esq.

Losses on Cushing Royalty & Income Fund ??
Losses on Cushing Royalty & Income Fund ?? 150 150 Robert Rex, Esq.

June 15,2015, Cushing & Royalty Income Fund (SRF) which traded at $25 in February 2012 currently trades at less than $5. It is a leveraged fund which invests in oil…

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  • Robert Rex, Esq.

Securities Service Network Acquires The Horizon Group
Securities Service Network Acquires The Horizon Group 150 150 Robert Rex, Esq.

June 9, 2015 The Investment News reports that Knoxville, Tennessee-based broker dealer Securities Service Network (SSN) has acquired The Horizons Group, a firm previously affiliated with Cadaret, Grant & Co.…

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