• Robert Rex, Esq.

David L. Sheppard-Former Aegis Capital Broker-Charged With Churning by FINRA-Barred
David L. Sheppard-Former Aegis Capital Broker-Charged With Churning by FINRA-Barred 150 150 Robert Rex, Esq.

Melville, New York UPDATE JUNE 2018-In 1/2018 a customer of Aegis Capital Corp. from Rhode Island filed FINRA arbitration 17-2867 alleging that Sheppard made unsuitable recommendations, traded the account excessively…

read more
  • Robert Rex, Esq.

Michael S. Lavolpe-Former Meyers Associates Broker-Discloses Multiple Pending Customer Disputes
Michael S. Lavolpe-Former Meyers Associates Broker-Discloses Multiple Pending Customer Disputes 150 150 Robert Rex, Esq.

July 2016-New York The FINRA records of Michael S. Lavolpe  , a  currently unlicensed stockbroker who was  most recently employed by  Meyers Associates  , disclose a pending regulatory event, 4 pending customer disputes, 2 prior customer disputes…

read more
  • Robert Rex, Esq.

George E. Johnson-Former Newport Coast Broker-Discloses $2.6M Customer Dispute
George E. Johnson-Former Newport Coast Broker-Discloses $2.6M Customer Dispute 150 150 Robert Rex, Esq.

July 2016-Chicago, Illinois The FINRA records of George E. Johnson  , a former stockbroker who was last  employed by  Newport Coast Securities  , disclose 3 final regulatory events, 6 prior customer disputes and a pending customer dispute.…

read more
  • Robert Rex, Esq.

Emil Botvinnik-Former SW Financial/ Worden Capital Broker-Accused of Churning by Regulator
Emil Botvinnik-Former SW Financial/ Worden Capital Broker-Accused of Churning by Regulator 150 150 Robert Rex, Esq.

UPDATED January 2019-In 9/2018, the US Securities & Exchange Commission filed a civil suit alleging that Botvinnik engaged in fraud involving excessive commissions to enrich himself while his customers experienced…

read more
  • Robert Rex, Esq.

Ibrahim Kurtulus Investigation- Meyers Associates Stock Broker
Ibrahim Kurtulus Investigation- Meyers Associates Stock Broker 150 150 Robert Rex, Esq.

April 7, 2016-New York, NY The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer…

read more
  • Robert Rex, Esq.

Bruce Meyers Investigation-Meyers Associates, LP
Bruce Meyers Investigation-Meyers Associates, LP 150 150 Robert Rex, Esq.

UPDATE-April 2017 The FINRA records of Bruce Meyers, a currently unregistered stock broker who formerly worked for  Meyers Associates,  now report 19 disclosure events, including 1 pending and 7 final regulatory events, 2…

read more
  • Robert Rex, Esq.

Craig G Langweiler – Former Meyers Associates Broker-Discloses Numerous Customer Disputes/Suspension
Craig G Langweiler – Former Meyers Associates Broker-Discloses Numerous Customer Disputes/Suspension 150 150 Robert Rex, Esq.

May 2017-Newton, PA The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and…

read more
  • Robert Rex, Esq.

Neal Scott-Former Euro Pacific Capital Broker Named in Customer Arbitration
Neal Scott-Former Euro Pacific Capital Broker Named in Customer Arbitration 150 150 Robert Rex, Esq.

April 7, 2016-New York, NY The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer…

read more
  • Robert Rex, Esq.

Christopher Veale Investigation-Numerous Customer Complaint & Regulatory Issues
Christopher Veale Investigation-Numerous Customer Complaint & Regulatory Issues 150 150 Robert Rex, Esq.

FINRA records report that Christopher F. Veale , of New York,  who is not currently registered, is currently  named in a customer dispute: FINRA Case 15-00373-customer alleges breach of fiduciary duty by Veale while…

read more
  • Robert Rex, Esq.

Christopher Veale–Former Legend Securities Broker Sanctioned by Regulator
Christopher Veale–Former Legend Securities Broker Sanctioned by Regulator 150 150 Robert Rex, Esq.

UPDATE March 28, 2016- Christopher Veale‘s FINRA record reports 11 prior customer complaints that have been resolved and one pending dispute. See this for more.  August18, 2015, Christopher Frederic Veale ,…

read more
Enter your
text here

You cannot copy content of this page