• Robert Rex, Esq.

Craig D. Dima-Former K.C. Ward Financial Broker-Barred From Securities Industry
Craig D. Dima-Former K.C. Ward Financial Broker-Barred From Securities Industry 150 150 Robert Rex, Esq.

June 2017- Ronkonkoma, NY The FINRA records of Craig D. Dima ,  a former  stock broker who was last employed by K. C. Ward Financial  disclose 3 prior regulatory events,  5 prior customer disputes, 2…

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  • Robert Rex, Esq.

Thomas J. Briguccia-K.C. Ward Financial Broker-Discloses Customer Disputes & Outstanding Judgments
Thomas J. Briguccia-K.C. Ward Financial Broker-Discloses Customer Disputes & Outstanding Judgments 150 150 Robert Rex, Esq.

August 2016- Ronkonkoma, NY The FINRA records of Thomas J. Briguccia, Jr. ,  a  stock broker who is currently  employed by K. C. Ward Financial  disclose 3 currently pending customer disputes, a6 prior customer disputes…

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  • Robert Rex, Esq.

Marcello Lattuca-Former JHS Capital Broker-Discloses Pending Customer Arbitration
Marcello Lattuca-Former JHS Capital Broker-Discloses Pending Customer Arbitration 150 150 Robert Rex, Esq.

August 2016- Massapequa, NY The FINRA records of Marcello Lattuca ,  a  stock broker who is currently  employed by NBC Securities  disclose a currently pending customer dispute and a prior customer dispute. The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Henry C. Prange-KCD Financial Broker-Discloses Pending Customer Dispute
Henry C. Prange-KCD Financial Broker-Discloses Pending Customer Dispute 150 150 Robert Rex, Esq.

August 2016- Green Bay, WI The FINRA records of Henry C. Prange, IV,  ,  a  stock broker who is currently  employed by KCD Financial, Inc.  disclose a currently pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is…

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  • Robert Rex, Esq.

Randall A. Heller -KCD Financial Broker-Discloses Customer Dispute Over REIT Investment
Randall A. Heller -KCD Financial Broker-Discloses Customer Dispute Over REIT Investment 150 150 Robert Rex, Esq.

August 2016- Oak Lawn, IL The FINRA records of Randall A. Heller ,  a  stock broker who is currently  employed by KCD Financial, Inc.  disclose a currently pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…

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  • Robert Rex, Esq.

George P. Koulouris-KCD Financial Broker-Discloses Customer Disputes-Manlius, NY
George P. Koulouris-KCD Financial Broker-Discloses Customer Disputes-Manlius, NY 150 150 Robert Rex, Esq.

August 2016- Manlius, NY The FINRA records of George P. Koulouris ,  a  stock broker who is currently  employed by KCD Financial, Inc.  disclose a prior regulatory event, 6 prior customer disputes, one currently pending customer dispute…

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  • Robert Rex, Esq.

Larry D. Freie-Former Sunset Financial Services Broker-Discloses Customer Disputes
Larry D. Freie-Former Sunset Financial Services Broker-Discloses Customer Disputes 150 150 Robert Rex, Esq.

August 2016- Lincoln, NE The FINRA records of Larry D. Freie ,  a  stock broker who is currently  employed by Ameritas Investment Corp.  disclose a prior customer dispute and one currently pending customer dispute. The Financial Industry…

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  • Robert Rex, Esq.

Peter B. Cohen-Ameritas Investment Broker-Discloses Pending Litigation
Peter B. Cohen-Ameritas Investment Broker-Discloses Pending Litigation 150 150 Robert Rex, Esq.

August 2016- Simsbury, CT The FINRA records of Peter B. Cohen ,  a  stock broker who is currently  employed by Ameritas Investment Corp.  disclose a currently pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that…

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  • Robert Rex, Esq.

Delbert W. Carnes-Woodbury Financial Broker-Discloses Settlement with Customers & Outstanding Judgment-Colorado Springs
Delbert W. Carnes-Woodbury Financial Broker-Discloses Settlement with Customers & Outstanding Judgment-Colorado Springs 150 150 Robert Rex, Esq.

August 2016- Colorado Springs, CO The FINRA records of Delbert W. Carnes ,  a  stock broker who is currently  employed by Woodbury Financial Services  disclose 5 prior customer disputes and a currently outstanding judgment. The Financial…

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  • Robert Rex, Esq.

John R. Stevens-Former Wilbanks Securities Broker-Discloses Customer Disputes Alleging Damages in Excess of $2M
John R. Stevens-Former Wilbanks Securities Broker-Discloses Customer Disputes Alleging Damages in Excess of $2M 150 150 Robert Rex, Esq.

Grand Junction, CO The FINRA records of John R. Stevens ,  a  stock broker who is currently not licensed and who was last employed by Wilbanks Securities  disclose   2 prior customer disputes, 3 pending…

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