• Robert Rex, Esq.

Wayne Boucher- Former Corecap Investments Broker- Discloses Settlement of Customer Disputes-Southfield,MI
Wayne Boucher- Former Corecap Investments Broker- Discloses Settlement of Customer Disputes-Southfield,MI 150 150 Robert Rex, Esq.

September 2019 -Southfield, MI According to publicly available records Wayne T. Boucher  (CRD#26819) , a currently unregistered  stockbroker who last worked for  Corecap Investments disclose  32 prior customer disputes. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Jaime R. Rodriguez- Former Cuso Financial Services Broker – Permanently Barred from Industry by FINRA for Stealing from Elderly, Blind Customer- Port Chester, NY
Jaime R. Rodriguez- Former Cuso Financial Services Broker – Permanently Barred from Industry by FINRA for Stealing from Elderly, Blind Customer- Port Chester, NY 150 150 Robert Rex, Esq.

September 2019 – Port Chester, NY The FINRA records of  Jamie R. Rodriguez,  a  former stockbroker who was last employed by Cuso Financial Services disclose he  has been barred from the securities industry…

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  • Robert Rex, Esq.

Stephen Pizzuti – Former Freedom Investors Corp. Broker – Discloses 3 Regulatory Events and Customer Suits – Altamonte Springs, FL
Stephen Pizzuti – Former Freedom Investors Corp. Broker – Discloses 3 Regulatory Events and Customer Suits – Altamonte Springs, FL 150 150 Robert Rex, Esq.

September 2019 – Brookfield, Wi The FINRA records of Stephen Douglas Pizzuti (CRD #1461660)  a  stockbroker who formerly was employed by Freedom Investors Corp. disclose 3 final regulatory events and 8 prior  customer…

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  • Robert Rex, Esq.

Michael Patman Subject of TX Securities Regulators Investigation Over Woodland Resources-Fort Worth, TX
Michael Patman Subject of TX Securities Regulators Investigation Over Woodland Resources-Fort Worth, TX 150 150 Robert Rex, Esq.

September 2019 -Fort Worth, Texas The Texas State Securities Board (TSSB) announced that unregistered investment promoter Jeremy “JB” Yowell is cooperating with the Enforcement Division of the State Securities Board…

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  • Robert Rex, Esq.

Capital Financial Services Closing Down Business-Accounts Transferred to Calton & Associates
Capital Financial Services Closing Down Business-Accounts Transferred to Calton & Associates 150 150 Robert Rex, Esq.

September 2019 Capital Financial Services (CFS)  , a brokerage firm with headquarters in Minot, North Dakota, recently notified its customers that it is closing down its business on or about…

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  • Robert Rex, Esq.

Luke M. Johnson-Former Coastal Equities Broker-Investigation Over GPB Auto Losses-Scottsdale, AZ
Luke M. Johnson-Former Coastal Equities Broker-Investigation Over GPB Auto Losses-Scottsdale, AZ 150 150 Robert Rex, Esq.

March 2020-Scottsdale, AZ We are investigating  former Coastal Equities Inc. broker Luke Michael Johnson on behalf of an Arizona resident who alleges that she was sold an unsuitable investment in…

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  • Robert Rex, Esq.

Nicholas J. Schiano- Former Worden Capital Management Broker- Discloses Customer Disputes- NYC
Nicholas J. Schiano- Former Worden Capital Management Broker- Discloses Customer Disputes- NYC 150 150 Robert Rex, Esq.

September 2019, New York, NY According to publicly available records Nicholas James Schiano   (CRD#4429212) ,  a  stockbroker currently registered  with Spartan Capital Securities,  disclose 1 prior customer dispute and 1 pending…

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  • Robert Rex, Esq.

Robert P. Solow- Former Trident Partners Broker-Discloses Pending Customer Suit- Melville, NY
Robert P. Solow- Former Trident Partners Broker-Discloses Pending Customer Suit- Melville, NY 150 150 Robert Rex, Esq.

September 2019, Melville, NY According to publicly available records Robert Paul Solow   (CRD# 4532161) ,  a  stockbroker who is not not registered and who last worked for Joseph Gunnar & Co.…

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