• Robert Rex, Esq.

Debra R. Lambert-Raymond James Broker-Discloses Pending Customer Arbitration
Debra R. Lambert-Raymond James Broker-Discloses Pending Customer Arbitration 150 150 Robert Rex, Esq.

August  2016-The Villages, Florida The FINRA records of Debra R. Lambert ,  a  stock broker who is currently employed by Raymond James & Assoc. , disclose a pending customer dispute brought by a customer of Merrill Lynch, Lambert’s…

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  • Robert Rex, Esq.

Robert Kyle Ratcliff-Stifel,Nicolaus Broker-Discloses Customer Arbitration-Denton, TX
Robert Kyle Ratcliff-Stifel,Nicolaus Broker-Discloses Customer Arbitration-Denton, TX 150 150 Robert Rex, Esq.

Denton, Texas UPDATE JULY 2017–FINRA records disclose that arbitration 15-3427, discussed below, was settled 2/2017 for $117,477.  August  2016-ORIGINAL POST   The FINRA records of Robert Kyle Ratcliff ,  a  stock broker who is currently employed…

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  • Robert Rex, Esq.

Frank J. McPartland-NBC Securities Broker-Discloses Pending Customer Arbitration
Frank J. McPartland-NBC Securities Broker-Discloses Pending Customer Arbitration 150 150 Robert Rex, Esq.

August  2016-Tampa, Florida The FINRA records of Frank J. McPartland ,  a  stock broker who is currently employed by NBC Securities, Inc.  , discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses…

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  • Robert Rex, Esq.

Kristopher R. Tung-Axiom Capital Mgmt. Broker-Discloses Pending Customer Arbitration
Kristopher R. Tung-Axiom Capital Mgmt. Broker-Discloses Pending Customer Arbitration 150 150 Robert Rex, Esq.

August  2016-Westbury, New York The FINRA records of Kristopher R. Tung ,  a  stock broker who is currently employed by Axiom Capital Management  , discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that…

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  • Robert Rex, Esq.

Hank Werner-Former Legend Securities Broker-Discloses Investigation for Churning Account of Blind & Disabled Widow
Hank Werner-Former Legend Securities Broker-Discloses Investigation for Churning Account of Blind & Disabled Widow 150 150 Robert Rex, Esq.

August  2016-New York The FINRA records of Hank M. Werner ,  a  currently unlicensed stock broker who was most recently employed by Legend Securities Inc.  , discloses a pending FINRA investigation in which he was charged with…

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  • Robert Rex, Esq.

Michael P. Dalessandro-Investment Center Broker-Discloses Customer Dispute Over Oil & Gas Investments
Michael P. Dalessandro-Investment Center Broker-Discloses Customer Dispute Over Oil & Gas Investments 150 150 Robert Rex, Esq.

August  2016-Colt’s Neck, New Jersey The FINRA records of Michael P. Dalessandro ,  a  stock broker who is currently  employed  by The Investment Center  , disclose a pending customer dispute and a prior final customer dispute. The…

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  • Robert Rex, Esq.

The Investment Center Fined $50K For Sale of Energy Stocks to Texas Residents
The Investment Center Fined $50K For Sale of Energy Stocks to Texas Residents 150 150 Robert Rex, Esq.

August 2016- Austin Texas The Texas State Securities Board (TSSB) sanctioned The Investment Center, Inc. , a New Jersey securities dealer registered in Texas for failing to supervise one of…

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  • Robert Rex, Esq.

Rick J. Sande-Aegis Capital Broker-Discloses Customer Dispute Alleging Churning
Rick J. Sande-Aegis Capital Broker-Discloses Customer Dispute Alleging Churning 150 150 Robert Rex, Esq.

August  2016-Melville, New York The FINRA records of Rick J. Sande ,  a  stock broker who is currently  employed  by Aegis Capital Corp.  , disclose a pending customer dispute and a prior final customer dispute. The Financial…

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  • Robert Rex, Esq.

Joshua L. Feldman-Aegis Capital Broker-Discloses Customer Disputes
Joshua L. Feldman-Aegis Capital Broker-Discloses Customer Disputes 150 150 Robert Rex, Esq.

New York MAY 2018 UPDATE–The FINRA records  of Joshua Feldman disclose settlement of   FINRA arbitration 17-0218, filed by a customer of Aegis Capital Corp who was seeking damages of $110,000 . The customer…

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  • Robert Rex, Esq.

Nicholas Parisi-Former Aegis Capital Broker-Discloses Customer Dispute & Outstanding Liens
Nicholas Parisi-Former Aegis Capital Broker-Discloses Customer Dispute & Outstanding Liens 150 150 Robert Rex, Esq.

April 2019-New York The FINRA records of Nicholas Parisi ,  a  stock broker who is currently  unlicensed and who was most recently employed  by Aegis Capital Corp.  , disclose a settled customer dispute and 2 outstanding…

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