• Robert Rex, Esq.

Jamie D. Pope-Former Wilbanks Securities Broker-Discloses Permanent Bar from Industry & Discharge
Jamie D. Pope-Former Wilbanks Securities Broker-Discloses Permanent Bar from Industry & Discharge 150 150 Robert Rex, Esq.

August  2016-Winter Park, Florida The FINRA records of Jamie D. Pope ,  a  stock broker who has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to…

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  • Robert Rex, Esq.

Mark S. Garfinkel-Oppenheimer Broker, Boca Raton-Discloses Customer Disputes and Bankruptcy Filing
Mark S. Garfinkel-Oppenheimer Broker, Boca Raton-Discloses Customer Disputes and Bankruptcy Filing 150 150 Robert Rex, Esq.

August  2016-Boca Raton, Florida The FINRA records of Mark S. Garfinkel ,  a  stock broker who is currently employed  by Oppenheimer & Co.  , disclose  five prior  customer disputes and and one financial event. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Jonathan E. Rago-Former Aegis Capital Broker-Discloses Pending Customer Dispute
Jonathan E. Rago-Former Aegis Capital Broker-Discloses Pending Customer Dispute 150 150 Robert Rex, Esq.

August  2016-Melville, New York The FINRA records of Jonathan E. Rago ,  a  stock broker who is not currently registered but was last employed  by Aegis Capital Corp. , disclose a pending customer dispute and two prior regulatory events.…

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  • Robert Rex, Esq.

Nicholas F. Milano-Former Aegis Capital Broker-Disclosed Customer Arbitrations
Nicholas F. Milano-Former Aegis Capital Broker-Disclosed Customer Arbitrations 150 150 Robert Rex, Esq.

August  2016-Melville, New York The FINRA records of Nicholas F. Milano ,  a  stock broker who is not currently registered but was last employed  by Aegis Capital Corp. , disclose a pending customer dispute and a prior FINRA award…

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  • Robert Rex, Esq.

Serge Parakhnevich-PHX Financial Broker-Discloses Pending Customer Dispute
Serge Parakhnevich-PHX Financial Broker-Discloses Pending Customer Dispute 150 150 Robert Rex, Esq.

August  2016-New York The FINRA records of Serge Parakhnevich ,  a  stock broker who is currently employed by PHX Financial, Inc. , disclose a pending customer dispute and an outstanding judgment/lien. The Financial Industry Regulatory Authority (FINRA) is the agency…

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  • Robert Rex, Esq.

Rick J. Sande-Aegis Capital Broker-Discloses Pending Customer Arbitration Claim
Rick J. Sande-Aegis Capital Broker-Discloses Pending Customer Arbitration Claim 150 150 Robert Rex, Esq.

August  2016-Melville, New York The FINRA records of Rick J. Sande ,  a  stock broker who is currently employed by Aegis Capital , disclose a pending customer dispute and a prior final customer dispute. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

GWN Securities Agrees to $20K Fine with Florida Securities Regulators
GWN Securities Agrees to $20K Fine with Florida Securities Regulators 150 150 Robert Rex, Esq.

July 2016- Palm Beach Gardens, FL The FINRA records of GWN Securities, Inc. ,  a  stock brokerage firm whose main office is located in Palm Beach Gardens, FL , disclose a recently finalized regulatory event. The Financial…

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  • Robert Rex, Esq.

J.J. Heaton-Former Merrill Lynch Broker-Discloses Customer Dispute Over Annuity Purchase
J.J. Heaton-Former Merrill Lynch Broker-Discloses Customer Dispute Over Annuity Purchase 150 150 Robert Rex, Esq.

August  2016-The Villages, Florida The FINRA records of J.J. Heaton ,  a  stock broker who is currently employed by Raymond James & Assoc. , disclose a pending customer dispute brought by a customer of Merrill Lynch,  Heaton’s prior employer.…

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  • Robert Rex, Esq.

Debra R. Lambert-Raymond James Broker-Discloses Pending Customer Arbitration
Debra R. Lambert-Raymond James Broker-Discloses Pending Customer Arbitration 150 150 Robert Rex, Esq.

August  2016-The Villages, Florida The FINRA records of Debra R. Lambert ,  a  stock broker who is currently employed by Raymond James & Assoc. , disclose a pending customer dispute brought by a customer of Merrill Lynch, Lambert’s…

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  • Robert Rex, Esq.

Robert Kyle Ratcliff-Stifel,Nicolaus Broker-Discloses Customer Arbitration-Denton, TX
Robert Kyle Ratcliff-Stifel,Nicolaus Broker-Discloses Customer Arbitration-Denton, TX 150 150 Robert Rex, Esq.

Denton, Texas UPDATE JULY 2017–FINRA records disclose that arbitration 15-3427, discussed below, was settled 2/2017 for $117,477.  August  2016-ORIGINAL POST   The FINRA records of Robert Kyle Ratcliff ,  a  stock broker who is currently employed…

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