• Robert Rex, Esq.

David S. Silberg-Former Aegis Capital Broker-Discloses Customer Complaints-Port Washington, NY
David S. Silberg-Former Aegis Capital Broker-Discloses Customer Complaints-Port Washington, NY 150 150 Robert Rex, Esq.

September 2019-Port Washington, NY-Tampa, FL The FINRA records of  David S. Silberg ,  a  broker who previously worked for  Aegis Capital Corp.   disclose a prior regulatory event,  3 prior final customer disputes and…

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  • Robert Rex, Esq.

Jonathan M. Zucker-Northeast Securities Broker-Discloses Customer Dispute-Mitchelfield, NY
Jonathan M. Zucker-Northeast Securities Broker-Discloses Customer Dispute-Mitchelfield, NY 150 150 Robert Rex, Esq.

April 2017-Mitchelfield, NY The FINRA records of  Jonathan M. Zucker ,  a  broker with Northeast Securities   disclose a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers…

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  • Robert Rex, Esq.

Raymond James to Purchase Scout Investments for $172M-St. Petersburg, FL
Raymond James to Purchase Scout Investments for $172M-St. Petersburg, FL 150 150 Robert Rex, Esq.

April 2017- St. Petersburg, FL Raymond James announced that they reached a deal with UMB Financial Corp (NASDAQ: UMBF) to purchase Scout Investments and its Reams Asset Management division. According…

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  • Robert Rex, Esq.

Hilltop Securities Fined by Regulators for Failing to Advise Customers-Dallas, TX
Hilltop Securities Fined by Regulators for Failing to Advise Customers-Dallas, TX 150 150 Robert Rex, Esq.

March 2020-Dallas, Texas The FINRA records of  Hilltop Securities,  a  stock brokerage firm headquartered in Dallas, Texas, disclose 52 prior regulator events that are final and 20 prior customer arbitrations. Investigations of…

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  • Robert Rex, Esq.

Robert K Lindell-Former Revere Securities Broker-Sentenced to 10 Years for Defrauding Elderly Women & Tax Evasion-Bangor, ME
Robert K Lindell-Former Revere Securities Broker-Sentenced to 10 Years for Defrauding Elderly Women & Tax Evasion-Bangor, ME 150 150 Robert Rex, Esq.

April 2019-Bangor, Maine According to publicly available records Robert Kenneth Lindell,  ,  a  previously registered stockbroker and former Maine lawmaker, who was last employed by Richfield Orion International, disclose 5…

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  • Robert Rex, Esq.

Revere Securities Sanctioned by Securities Regulators
Revere Securities Sanctioned by Securities Regulators 150 150 Robert Rex, Esq.

March 2017-New York According to publicly available records Revere Securities LLC , (CRD# 14178) ,  a  FINRA registered broker dealer headquartered in New York City, discloses a pending regulatory matter , 9 prior final…

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  • Robert Rex, Esq.

Leon Paul Rehak-Former Raymond James Broker-Named in Churning Complaint-Pompano, FL
Leon Paul Rehak-Former Raymond James Broker-Named in Churning Complaint-Pompano, FL 150 150 Robert Rex, Esq.

March 2017-Pompano Beach, FL According to publicly available records Leon Paul Rehak  , (CRD# 2331058) ,  a   stockbroker who presently works for LPL Financial,  discloses a pending customer dispute. The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

How to Recover Losses on United Development Funding IV (UDF IV)
How to Recover Losses on United Development Funding IV (UDF IV) 150 150 Robert Rex, Esq.

March 2017 Investors who have suffered losses on United Development IV (UDF IV)  may be able to recover damages through FINRA arbitration,  a dispute resolution process that is much more…

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  • Robert Rex, Esq.

Joel H. Kassewitz-Former Credit Suisse Broker-Discloses Customer Disputes-Coral Gables, FLA
Joel H. Kassewitz-Former Credit Suisse Broker-Discloses Customer Disputes-Coral Gables, FLA 150 150 Robert Rex, Esq.

February 2017-Coral Gables, FL According to publicly available records Joel H. Kassewitz , (CRD# 1674124) ,  a   stockbroker who is  not currently registered discloses one pending and seven prior, final customer disputes.…

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  • Robert Rex, Esq.

Peter Martorana, Former Toms River, NJ, Financial Advisor, Pleads Guilty
Peter Martorana, Former Toms River, NJ, Financial Advisor, Pleads Guilty 150 150 Robert Rex, Esq.

February 2017-Toms River, NJ New Jersey 101.5 reports that Wall Township financial advisor Peter Martorana, 62, who worked for Retirement Benefit Specialists, pleaded guilty to accepting checks from elderly clients in…

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