• 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.

Dennis Van Patter-Former VSR Financial Services Broker-Discloses Pending Customer Disputes-Plano, TX
Dennis Van Patter-Former VSR Financial Services Broker-Discloses Pending Customer Disputes-Plano, TX 150 150 Robert Rex, Esq.

February  2017-Plano, Texas According to public records former VSR Financial Services broker Dennis Van Patter discloses a prior final regulatory event, 7 prior customer disputes that are final and 3 pending customer…

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  • Robert Rex, Esq.

Mickey Long-Former VSR Financial Services Broker-Discloses Pending Customer Disputes-Plano, TX
Mickey Long-Former VSR Financial Services Broker-Discloses Pending Customer Disputes-Plano, TX 150 150 Robert Rex, Esq.

February  2017-Plano, Texas According to public records former VSR Financial Services broker M. F. (Mickey) Long discloses a prior final regulatory event, 10 prior customer disputes that are final and…

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  • Robert Rex, Esq.

Peter Martorana, Former Toms River, NJ, Financial Advisor, Pleads Guilty
Peter Martorana, Former Toms River, NJ, Financial Advisor, Pleads Guilty 150 150 Robert Rex, Esq.

February 2017-Toms River, NJ New Jersey 101.5 reports that Wall Township financial advisor Peter Martorana, 62, who worked for Retirement Benefit Specialists, pleaded guilty to accepting checks from elderly clients in…

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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.

Alejandro Falla-Former Ultralat Capital Markets Broker-Sanctioned by Securities Regulator-Coral Gables, FL
Alejandro Falla-Former Ultralat Capital Markets Broker-Sanctioned by Securities Regulator-Coral Gables, FL 150 150 Robert Rex, Esq.

February 2017-Coral Gables, FL According to publicly available records Alejandro Falla , (CRD# 5064828) ,  a  former stockbroker who was last employed by  BAC Florida Investments,  disclose  a recent regulatory sanction. The Financial Industry Regulatory Authority (FINRA) is…

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