• Robert Rex, Esq.

Mark S. Immel-Former G.A. Repple Broker-Discloses 19 Customer Complaints
Mark S. Immel-Former G.A. Repple Broker-Discloses 19 Customer Complaints 150 150 Robert Rex, Esq.

UPDATE October 2016-FINRA records report that Mark S. Immel terminated his registration with G.A. Repple & Co. 5/2016 and as of October 25, 2016, he is not currently registered with…

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  • Robert Rex, Esq.

Richard S. Sadowski-G A Repple Broker- Discloses Customer Complaints -Hot Springs, Arkansas
Richard S. Sadowski-G A Repple Broker- Discloses Customer Complaints -Hot Springs, Arkansas 150 150 Robert Rex, Esq.

March 28, 2016-Hot Springs, Arkansas According to FINRA records, G.A. Repple broker Richard S. Sadowski has 13 customer disputes reported, including: FINRA Case No 13-3205– A customer alleged that Sadowski,…

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  • Robert Rex, Esq.

Christopher Veale Investigation-Numerous Customer Complaint & Regulatory Issues
Christopher Veale Investigation-Numerous Customer Complaint & Regulatory Issues 150 150 Robert Rex, Esq.

FINRA records report that Christopher F. Veale , of New York,  who is not currently registered, is currently  named in a customer dispute: FINRA Case 15-00373-customer alleges breach of fiduciary duty by Veale while…

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  • Robert Rex, Esq.

Mark Cleaton Sentenced to 80 Months-Rockwall, TX
Mark Cleaton Sentenced to 80 Months-Rockwall, TX 150 150 Robert Rex, Esq.

March 9, 2016- Rockwall, Texas The Rowlett Lakeshore Times reports that Mark Lee Cleaton, 34, of Rockwall, was sentenced to 80 months in federal prison and ordered to pay restitution…

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  • Robert Rex, Esq.

Richard Gomez Investigation-Former Legend Securities Broker
Richard Gomez Investigation-Former Legend Securities Broker 150 150 Robert Rex, Esq.

FINRA records report that Richard Gomez , of New York,  who is not currently registered, is currently  named in two customer disputes: FINRA Case 16-0035 filed by a Florida resident against Gomez while he…

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  • Robert Rex, Esq.

John Cangialosi -Worden Capital Management Broker-Discloses Customer Dispute Alleging Churning-New York
John Cangialosi -Worden Capital Management Broker-Discloses Customer Dispute Alleging Churning-New York 150 150 Robert Rex, Esq.

September 2019-New York FINRA records disclose that John S. Cangialosi, who is currently registered with Worden Capital Management, has two prior regulatory events, a currently pending customer dispute, 7 prior customer…

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  • Robert Rex, Esq.

Daren Dorval Investigation-Legend Securities Broker
Daren Dorval Investigation-Legend Securities Broker 150 150 Robert Rex, Esq.

FINRA records report that Daren Dorval, who has been registered with Legend Securities since 9/2009, is named in a 3 currently pending arbitrations: FINRA Case 15-802 filed by a Florida…

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  • Robert Rex, Esq.

Brian K. Decker Investigation-Legend Securities Broker
Brian K. Decker Investigation-Legend Securities Broker 150 150 Robert Rex, Esq.

See this for MAY 2018 UPDATE. Brian Decker barred from securities industry by regulators.  ORIGINAL POST MARCH 2016 FINRA records report that Brian K. Decker, who has been registered with…

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  • Robert Rex, Esq.

Legend Securities Ordered to Pay Customer $61K by FINRA Arbitrators
Legend Securities Ordered to Pay Customer $61K by FINRA Arbitrators 150 150 Robert Rex, Esq.

July 2015 Legend Securities was ordered to pay over $61,000 to the estate of a former client by a Financial Industry Regulatory Authority (FINRA) arbitration panel. FINRA Case 14-1705. Estate…

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  • Robert Rex, Esq.

Legend Securities Fined $300,000 by S. Carolina Securities Regulators
Legend Securities Fined $300,000 by S. Carolina Securities Regulators 150 150 Robert Rex, Esq.

March 18, 2016-Columbia, South Carolina Legend Securities was named in Administrative Order File Number 14108 filed  by the Securities Division of the Office of the Attorney General of South Carolina for…

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