• Robert Rex, Esq.

Alex Etter-Former Caldwell International Securities Broker-Named in Regulatory Complaint
Alex Etter-Former Caldwell International Securities Broker-Named in Regulatory Complaint 150 150 Robert Rex, Esq.

Englewood Cliffs, New Jersey According to FINRA records,  Alex E. Etter,   a stockbroker who was formerly employed by Caldwell International Securities, discloses  a pending regulatory investigation . The Financial Industry Regulatory Authority (FINRA) is the agency…

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  • Robert Rex, Esq.

Greg Caldwell-Caldwell International Securities Broker-Discloses Regulatory Investigation
Greg Caldwell-Caldwell International Securities Broker-Discloses Regulatory Investigation 150 150 Robert Rex, Esq.

Austin, Texas OCTOBER 2017 UPDATE-Caldwell International Securities was expelled from the securities industry by FINRA January 2017. According to FINRA records,  Greg A. Caldwell,   a stockbroker who is currently  employed by Caldwell International…

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  • Robert Rex, Esq.

Lennie Freiman-Former Caldwell International Securities Broker-Discloses Regulatory Investigation
Lennie Freiman-Former Caldwell International Securities Broker-Discloses Regulatory Investigation 150 150 Robert Rex, Esq.

San Antonio, Texas According to FINRA records,  Lennie S. Freiman,   a stockbroker who most recently worked for Caldwell International Securities, but who is not currently registered with any firm,  discloses  a pending regulatory investigation and…

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  • Robert Rex, Esq.

Michael P. Lessard-Former MetLife Securities Broker-Discloses Regulatory Suspension
Michael P. Lessard-Former MetLife Securities Broker-Discloses Regulatory Suspension 150 150 Robert Rex, Esq.

Charlotte, North Carolina According to FINRA records,  Michael P. Lessard, Jr.,   a stockbroker who currently works for Southeast Investments,  discloses  a regulatory investigation and a discharge from a prior firm. The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Frank D. Marinelli-Former J.P. Turner Broker-Discloses Two Pending Customer Disputes
Frank D. Marinelli-Former J.P. Turner Broker-Discloses Two Pending Customer Disputes 150 150 Robert Rex, Esq.

Staten Island, New York According to FINRA records,  Frank D. Marinelli,   a stockbroker who currently works for Southeast Investments,  discloses  two pending customer disputes, a termination, two pending judgment/liens and two final customer…

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  • Robert Rex, Esq.

Wayne Kirk-Former Reef Securities Broker-Discloses Settlement of Customer Dispute-Richardson,TX
Wayne Kirk-Former Reef Securities Broker-Discloses Settlement of Customer Dispute-Richardson,TX 150 150 Robert Rex, Esq.

MAY 2018 UPDATE–Wayne Kirk has not been registered as a stockbroker since leaving Reef Securities in 4/2017. FINRA Arbitration 16-0307, discussed below, was settled 2/2017 for $60,000. ORIGINAL POST JUNE…

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  • Robert Rex, Esq.

Allan Cooper Arrested on Investment Fraud-Houston, Texas
Allan Cooper Arrested on Investment Fraud-Houston, Texas 150 150 Robert Rex, Esq.

Houston, Texas The US Attorney’s Office for the Southern District of Texas announced the arrest of Allan George Cooper, 75, of Houston, Texas. Cooper is charged with wire fraud and…

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  • Robert Rex, Esq.

Douglas J. Williams-VFinance Investments Broker-Discloses $2.5M Customer Dispute-The Woodlands, TX
Douglas J. Williams-VFinance Investments Broker-Discloses $2.5M Customer Dispute-The Woodlands, TX 150 150 Robert Rex, Esq.

The Woodlands, Texas MAY 2017 UPDATE-In September 2016, the customer who filed FINRA arbitration 15-0049, see below,  was paid $420,000 to settle the matter. ORIGINAL POST JUNE 2016– According to FINRA…

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  • Robert Rex, Esq.

Craig R. Wirth Discloses Discharge From SWS Financial
Craig R. Wirth Discloses Discharge From SWS Financial 150 150 Robert Rex, Esq.

Addison, Texas According to FINRA records,  Craig R. Wirth ,   a stockbroker who currently works for Cambridge Investment Research.   discloses  an Employment Separation After Allegation event. The Financial Industry Regulatory Authority (FINRA) is the agency…

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