rockwell global capital problem

  • Robert Rex, Esq.

Steven R. Luftschein-Aegis Capital Broker-Discloses $2M Customer Dispute
Steven R. Luftschein-Aegis Capital Broker-Discloses $2M Customer Dispute 150 150 Robert Rex, Esq.

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…

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  • Robert Rex, Esq.

Bryan Mazliach-Former Laidlaw & Company Broker-Discloses Customer Arbitrations
Bryan Mazliach-Former Laidlaw & Company Broker-Discloses Customer Arbitrations 150 150 Robert Rex, Esq.

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…

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  • Robert Rex, Esq.

Robert Murray, III-Joseph Stone Capital Broker-Named in Numerous Customer Arbitrations
Robert Murray, III-Joseph Stone Capital Broker-Named in Numerous Customer Arbitrations 150 150 Robert Rex, Esq.

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…

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  • Robert Rex, Esq.

Wayne Ford-Former Salomon Whitney Broker-Discloses Pending Customer Dispute & Liens
Wayne Ford-Former Salomon Whitney Broker-Discloses Pending Customer Dispute & Liens 150 150 Robert Rex, Esq.

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…

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  • Robert Rex, Esq.

Vincent Pereira- Private Placement Customer Complaints Settled
Vincent Pereira- Private Placement Customer Complaints Settled 150 150 Robert Rex, Esq.

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      …

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  • Robert Rex, Esq.

Spartan Capital Securities Stock Broker Barred From Industry-Danbury, CN
Spartan Capital Securities Stock Broker Barred From Industry-Danbury, CN 150 150 Robert Rex, Esq.

October 13, 2015-Danbury, CN Jeffrey David Snyder , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he repeatedly refused…

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  • Robert Rex, Esq.

Hector Perez a/k/a Bruce Johnson Barred From Securities Industry
Hector Perez a/k/a Bruce Johnson Barred From Securities Industry 150 150 Robert Rex, Esq.

July 1, 2015 Hector Perez , a/k/a Bruce Johnson ,  entered into a settlement with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between December 2009 and February 2011, he…

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