securities attorney Archives

Robert Rex, Esq.
June 21, 2016

William D. Keltner-MWA Financial Services Broker-Discloses Customer Dispute

William D. Keltner-MWA Financial Services Broker-Discloses 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/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 21, 2016 June 21, 2016

Jackson, TN According to FINRA records, William D. Keltner , a stockbroker who currently works for MWA Financial Services, discloses a recently resolved customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that…

Robert Rex, Esq.
June 17, 2016

Miami Resident John Utsick Pleads Guilty In $200M Fraud Scheme

Miami Resident John Utsick Pleads Guilty In $200M Fraud Scheme https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 17, 2016 June 17, 2016

June 15, 2016-Miami, Florida The US Attorney’s Office for the Southern District of Florida announced that John Utsick, 75, of Miami Beach, FL, pled guilty for his role in a…

Robert Rex, Esq.
June 17, 2016

Ronald Earl McCullough-Raleigh, NC-FBI Offers Reward

Ronald Earl McCullough-Raleigh, NC-FBI Offers Reward https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 17, 2016 June 17, 2016

June 16. 2016-Charlotte, North Carolina The FBI announced a $5,000 reward for assistance in locating Ronald Earl McCullough who, by portraying himself as a religious leader, was able to over…

Robert Rex, Esq.
June 14, 2016

Sean W. Mollard-Former Dawson James Broker-Discloses $1M Customer Dispute

Sean W. Mollard-Former Dawson James Broker-Discloses $1M 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/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 14, 2016 April 11, 2024

Boca Raton, Florida UPDATE APRIL 2017-FINRA records indicate that FINRA arbitration 16-0849, described below, was settled in February 2017 for $295,000. ORIGINAL POST JUNE 2016 According to FINRA records, Sean W.…

Robert Rex, Esq.
June 13, 2016

Michael M. Hurtgen-Former Raymond James Broker-Discloses Discharge

Michael M. Hurtgen-Former Raymond James Broker-Discloses Discharge https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 13, 2016 June 13, 2016

Greenwood, CO According to FINRA records, Michael M. Hurtgen , a stock broker currently employed by Girard Securities , discloses a termination from prior employment. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and…

Robert Rex, Esq.
June 10, 2016

Morgan Stanley Ordered By FINRA Panel to Pay $8.6 Million to Customer

Morgan Stanley Ordered By FINRA Panel to Pay $8.6 Million to Customer https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 10, 2016 June 10, 2016

Los Angeles, CA In an arbitration conducted by the Financial Industry Regulatory Authority (FINRA) Morgan Stanley was ordered to pay a retiree over $8.6 million in damages for unauthorized trading…

Robert Rex, Esq.
June 8, 2016

Felix A. Bartolomei-Cuso Financial Services Broker-Discloses Pending Customer Disputes

Felix A. Bartolomei-Cuso Financial Services Broker-Discloses Pending Customer Disputes https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 8, 2016 June 8, 2016

Orlando, Florida According to FINRA records, Felix Alberto Bartolomei , a stockbroker employed by Cuso Financial Services , discloses 3 pending customer disputes and 2 final customer disputes. The Financial Industry Regulatory Authority (FINRA) is the agency…

Robert Rex, Esq.
June 8, 2016

Douglas C. Robb-Former Cuso Financial Services Broker-Discloses Termination From Employment

Douglas C. Robb-Former Cuso Financial Services Broker-Discloses Termination From Employment https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 8, 2016 June 8, 2016

Port Chester, New York According to FINRA records, Douglas C. Robb, Jr. , a stockbroker who was recently employed by Cuso Financial Services , discloses a termination. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and…

Robert Rex, Esq.
June 8, 2016

Minerva-Rockdale E&P III-How to Recover Investment Losses

Minerva-Rockdale E&P III-How to Recover Investment Losses https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 8, 2016 June 8, 2016

Investors who have losses as a result of investing in Minerva-Rockdale E&P III may be able to recover some or all of their losses through arbitration. On May 16, 2016,…

Robert Rex, Esq.
June 6, 2016

Francesco A. Scarso-First Standard Financial Broker-Discloses Pending Customer Dispute-NY

Francesco A. Scarso-First Standard Financial Broker-Discloses Pending Customer Dispute-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/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 6, 2016 June 6, 2016

New York MAY 2017 UPDATE–Francesco Scarso was permanently barred from the securities industry in 2/2017 for failing to respond to a request for information in connection with an investigation. …

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