• Robert Rex, Esq.

Christos A. Kalatoudis-Former Worden Capital Broker-Discloses Regulatory Events & Pending Judgment/Liens
Christos A. Kalatoudis-Former Worden Capital Broker-Discloses Regulatory Events & Pending Judgment/Liens 150 150 Robert Rex, Esq.

July 2016-Lake Success, New York The FINRA records of Christos A. Kalatoudis ,  a currently unlicensed stock broker who was last employed by Worden Capital Management, disclose  2 prior regulatory events,  4 prior finalized customer disputes and 2…

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  • Robert Rex, Esq.

Sperry R. Younger-NMS Capital Advisors Broker-Discloses Customer Dispute
Sperry R. Younger-NMS Capital Advisors Broker-Discloses Customer Dispute 150 150 Robert Rex, Esq.

July 2016-New York The FINRA records of Sperry R. Younger ,  a stock broker who is currently employed by NMS Capital Advisors, LLC, disclose  a currently pending regulatory event, a currently pending customer dispute,  3 prior…

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  • Robert Rex, Esq.

Joseph C. Alexander-Sterne Agee Financial Broker-Discloses Customer Dispute
Joseph C. Alexander-Sterne Agee Financial Broker-Discloses Customer Dispute 150 150 Robert Rex, Esq.

July 2016-Pell City, Alabama The FINRA records of Joseph C. Alexander ,  a stock broker who is currently employed by Sterne Agee Financial Services, disclose  a currently pending customer dispute and a prior finalized customer…

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  • Robert Rex, Esq.

Thomas J. Dailey-Sterne Agee Financial Broker-Discloses $500K Customer Dispute
Thomas J. Dailey-Sterne Agee Financial Broker-Discloses $500K Customer Dispute 150 150 Robert Rex, Esq.

July 2016-Youngstown, Ohio The FINRA records of Thomas J. Dailey ,  a stock broker who is currently employed by Sterne Agee Financial Services, disclose  a currently pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is…

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  • Robert Rex, Esq.

William R. Pintaric-Former WRP Investments Broker-Discloses Customer Dispute-Youngstown, OH
William R. Pintaric-Former WRP Investments Broker-Discloses Customer Dispute-Youngstown, OH 150 150 Robert Rex, Esq.

March 2019-Cuyahoga County, Ohio The FINRA records of William Richard Pintaric , (CRD 363876) a stock broker who is currently not registered and who previously worked for WRP Investments , disclose  2 prior regulatory events, a currently…

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  • Robert Rex, Esq.

Further Lane Securities Named In Regulatory Complaint for Excessive Markups on Bonds
Further Lane Securities Named In Regulatory Complaint for Excessive Markups on Bonds 150 150 Robert Rex, Esq.

July 2016-New York The FINRA records of Further Lane Securities, L.P. ,  disclose a currently pending regulatory event and 2 prior regulatory events. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers…

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  • Robert Rex, Esq.

Chazon Stein-Former Primex Stock Broker-Discloses Permanent Bar from Securities Industry-Boca Raton, FL
Chazon Stein-Former Primex Stock Broker-Discloses Permanent Bar from Securities Industry-Boca Raton, FL 150 150 Robert Rex, Esq.

July 2016-Boca Raton, Florida The FINRA records of Chazon Stein (also known as Chaz Stein, Chazoni Stein & Zoni Stein) , a  currently unlicensed stockbroker who last worked for  Primex , disclose a prior regulatory event and 2 prior…

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  • Robert Rex, Esq.

Barry G. Hartman-Former FSC Securities Broker-Discloses Settlement of Customer Complaints-Missoula, MT
Barry G. Hartman-Former FSC Securities Broker-Discloses Settlement of Customer Complaints-Missoula, MT 150 150 Robert Rex, Esq.

Missoula, MT UPDATE MAY 2017-Former FSC Securities broker Barry Hartman discloses two additional pending customer disputes: In FINRA case #16-3685 a customer of FSC Securities alleges damages of $184,750 for…

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  • 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…

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  • Robert Rex, Esq.

Jeffery A. Vaughn-Former Hornor, Townsend, Kent Broker-Named in FINRA Complaint
Jeffery A. Vaughn-Former Hornor, Townsend, Kent Broker-Named in FINRA Complaint 150 150 Robert Rex, Esq.

July 2016-Horsham, PA The FINRA records of Jeffery A. Vaughn  , a  currently unlicensed stockbroker who was  most recently employed by  Hornor, Townsend & Kent  , disclose a pending regulatory event, 2 prior regulatory events and…

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