• Robert Rex, Esq.

George W. Cole Investigation-NEXT Financial Group Stockbroker
George W. Cole Investigation-NEXT Financial Group Stockbroker 150 150 Robert Rex, Esq.

April 1, 2016- Toms River, New Jersey FINRA records report that NEXT Financial Group stockbroker George W. Cole has been named in a customer complaint alleging that advice given by Cole…

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  • Robert Rex, Esq.

Brian Brunhaver Investigation Update-Former LPL Broker-Discloses Numerous Customer Complaints-Snohomish, WA
Brian Brunhaver Investigation Update-Former LPL Broker-Discloses Numerous Customer Complaints-Snohomish, WA 150 150 Robert Rex, Esq.

April 1, 2016-Snohomish, WA In 2013 Brian Brunhaver, a former stock broker with LPL Financial, was sanctioned the Washington State Securities regulators for the sale of non publicly traded real…

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  • Robert Rex, Esq.

Justin Amaral Investigation Update-Customer Wins $1M in Arbitration
Justin Amaral Investigation Update-Customer Wins $1M in Arbitration 150 150 Robert Rex, Esq.

Boston, MA In December 2015, a FINRA arbitration panel awarded a former customer of Morgan Stanley Smith Barney Broker Justin Amaral over $1 million, which included over $500,000 in punitive…

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  • Robert Rex, Esq.

Michael Donnelly Investigation-Coastal Equities Broker Admits Theft From Elderly Clients
Michael Donnelly Investigation-Coastal Equities Broker Admits Theft From Elderly Clients 150 150 Robert Rex, Esq.

October 19, 2015 Former Coastal Equities broker Michael Donnelly of Lecanto, Florida, admitting defrauding his clients and to disgorge over $2.2 million. In addition he consented to an SEC order…

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  • Robert Rex, Esq.

Mark A. Lisser-Former Garden State Securities Broker- Subject of Customer Suits
Mark A. Lisser-Former Garden State Securities Broker- Subject of Customer Suits 150 150 Robert Rex, Esq.

September 2019 FINRA records disclose that former Garden State Securities stockbroker Mark A. Lisser has two pending customer disputes , 5 prior customer disputes and a termination from employment. FINRA…

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  • Robert Rex, Esq.

Raymond Pirrello of Garden State Securities Investigated by Securities Regulator
Raymond Pirrello of Garden State Securities Investigated by Securities Regulator 150 150 Robert Rex, Esq.

http://blog.rexsecuritieslaw.com/2018/03/23/raymond-j-pirrello-jr-churning-investigation/ UPDATE July 2016–Pirrello named in insider trading complaint filed by the Securities and Exchange commission. See this for details.  UPDATE June 2016-Former Garden State Securities stock broker Raymond J. Pirrello…

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  • Robert Rex, Esq.

Dwarka Persaud-Former Buckman Buckman & Reid Broker-Discloses Regulatory Suspension/Customer Disputes/ Bankruptcy Filing-Plainfield, NJ
Dwarka Persaud-Former Buckman Buckman & Reid Broker-Discloses Regulatory Suspension/Customer Disputes/ Bankruptcy Filing-Plainfield, NJ 150 150 Robert Rex, Esq.

UPDATE OCTOBER 2017–Dwarka Persaud Suspended-In August 2017 FINRA suspended Persaud for 18 months to resolve allegations that he violated the terms of a heightened supervision agreement which he and his…

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  • Robert Rex, Esq.

James N. Forster Discharged From Joseph Gunnar & Co.
James N. Forster Discharged From Joseph Gunnar & Co. 150 150 Robert Rex, Esq.

March 23, 2016, NYC According to his official FINRA records, James N. Forster was discharged from Joseph Gunnar & Co. in December, 2015, for “wrongful taking of personal items”. Forster…

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  • Robert Rex, Esq.

Steven Ridgley, Waddell & Reed Broker, Sanctioned for Unauthorized Trading
Steven Ridgley, Waddell & Reed Broker, Sanctioned for Unauthorized Trading 150 150 Robert Rex, Esq.

March 23, 2016-Louisville, KY Steven D. Ridgley  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  while employed by Waddell…

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  • Robert Rex, Esq.

James Hopkins, Dawson James Securities Broker, Named in Customer Dispute
James Hopkins, Dawson James Securities Broker, Named in Customer Dispute 150 150 Robert Rex, Esq.

James C. Hopkins, a Boca Raton, FL, stockbroker registered with Dawson James Securities, is named in a customer dispute alleging that he made misrepresentations in connection with an investment banking offering…

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