Rockwell Global Capital investigation Archives

Robert Rex, Esq.
June 25, 2019

Abed William Lulu-Former Worden Capital Broker- Discloses 6 Regulatory Event & Customer Suits – Melville, NY

Abed William Lulu-Former Worden Capital Broker- Discloses 6 Regulatory Event & Customer Suits – Melville, NY https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 25, 2019 June 25, 2019

June 2019-Melville, NY The FINRA records of Abed William Lulu , a financial advisor previously employed by Worden Capital Management disclose 6 regulatory events, 3 prior customer disputes, 4 outstanding judgments. The…

Robert Rex, Esq.
August 18, 2018

Michael Rosalia-Worden Capital Management Broker-Discloses Customer Suits-Melville, NY

Michael Rosalia-Worden Capital Management Broker-Discloses Customer Suits-Melville, NY https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 18, 2018 August 18, 2018

January 2019-Garden City, NY The FINRA records of Michael R. Rosalia , a financial advisor employed by Worden Capital Management disclose a pending customer dispute, 6 prior customer disputes, a bankruptcy filing and 9 outstanding…

Robert Rex, Esq.
May 18, 2017

Keith J. Hart – Broker previously Aegis Capital- Discloses Customer Dispute – Melville, NY

Keith J. Hart – Broker previously Aegis Capital- Discloses Customer Dispute – Melville, NY https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 18, 2017 May 18, 2017

May 2017- Melville, NY According to publicly available records Keith J. Hart (CRD#4438580) , a stockbroker who is currently not registered, but was previously registered with Aegis Capital Corp., discloses 2 pending customer disputes.…

Robert Rex, Esq.
July 25, 2016

Steven R. Luftschein-Aegis Capital Broker-Discloses $2M Customer Dispute

Steven R. Luftschein-Aegis Capital Broker-Discloses $2M Customer Dispute https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 25, 2016 July 25, 2016

July 2016-Melville, New York The FINRA records of Steven R. Luftschein , a stock broker currently employed by Aegis Capital Corp. , disclose a pending customer dispute and 11 prior final customer disputes. The Financial Industry Regulatory…

Robert Rex, Esq.
May 10, 2016

Bryan Mazliach-Former Laidlaw & Company Broker-Discloses Customer Arbitrations

Bryan Mazliach-Former Laidlaw & Company Broker-Discloses Customer Arbitrations https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 10, 2016 May 10, 2016

May 2019 The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes…

Robert Rex, Esq.
May 9, 2016

Robert Murray, III-Joseph Stone Capital Broker-Named in Numerous Customer Arbitrations

Robert Murray, III-Joseph Stone Capital Broker-Named in Numerous Customer Arbitrations https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 9, 2016 May 9, 2016

February 2018 The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes…

Robert Rex, Esq.
April 27, 2016

Wayne Ford-Former Salomon Whitney Broker-Discloses Pending Customer Dispute & Liens

Wayne Ford-Former Salomon Whitney Broker-Discloses Pending Customer Dispute & Liens https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 27, 2016 April 27, 2016

Farmingdale, New York JANUARY 2017 UPDATE-In January 2017, Wayne F. Ford was suspended by FINRA for failing to comply with an arbitration award or settlement agreement or to satisfactorily respond…

Robert Rex, Esq.
March 29, 2016

Vincent Pereira- Private Placement Customer Complaints Settled

Vincent Pereira- Private Placement Customer Complaints Settled https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 29, 2016 March 29, 2016

According to FINRA records, stockbroker Vincent Louis Pereira currently is employed by Alexander Capital, where he has been registered since 2/2015. His previous registrations include: Blackbook Capital …