• Robert Rex, Esq.

Daniel J. O’Neill-Aegis Capital Broker-Discloses Pending Customer Dispute and Outstanding Liens
Daniel J. O’Neill-Aegis Capital Broker-Discloses Pending Customer Dispute and Outstanding Liens 150 150 Robert Rex, Esq.

July 2016-Melville, New York The FINRA records of Daniel J. O’Neill ,  a  stock broker currently employed  by Aegis Capital Corp. , disclose a pending customer dispute, a prior final financial event and 3 outstanding judgment/liens. The…

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  • Robert Rex, Esq.

Nick E. Son-Aegis Capital Corp. Broker-Discloses Customer Dispute Alleging High Pressure Sales Tactics
Nick E. Son-Aegis Capital Corp. Broker-Discloses Customer Dispute Alleging High Pressure Sales Tactics 150 150 Robert Rex, Esq.

New York UPDATE MAY 2017-Nick E. Son discloses a recently filed customer arbitration. In 12/2016 a customer of Aegis Capital alleges damages in an unspecified amount relating to use of…

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  • Robert Rex, Esq.

Steven P. Capozza-Keystone Capital Broker-Discloses Outstanding Judgment
Steven P. Capozza-Keystone Capital Broker-Discloses Outstanding Judgment 150 150 Robert Rex, Esq.

July 2016-San Diego, CA The FINRA records of Steven P. Capozza ,  a  stock broker employed  by Keystone Capital Corporation , disclose a prior regulatory event, a prior customer dispute and a currently outstanding judgement/lien. The Financial Industry Regulatory Authority (FINRA) is…

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  • Robert Rex, Esq.

Stephen L. Swarbrick-Questar Capital Broker-Discloses Customer Complaint Over Oil & Gas Investments-Roseville,CA
Stephen L. Swarbrick-Questar Capital Broker-Discloses Customer Complaint Over Oil & Gas Investments-Roseville,CA 150 150 Robert Rex, Esq.

Roseville, California UPDATE JUNE 2017-In January 2017 a customer of Woodbury Financial and Questar Capital Corp. filed a complaint with the CA Department of Business Oversight alleging unsuitable sales for…

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  • Robert Rex, Esq.

Joseph O. Clemente, Jr. -Former J.D. Nicholas Broker-Discloses Customer Complaints
Joseph O. Clemente, Jr. -Former J.D. Nicholas Broker-Discloses Customer Complaints 150 150 Robert Rex, Esq.

July 2016-Garden City, New York The FINRA records of Joseph O. Clemente, Jr. ,  a  currently unlicensed stock broker who was last employed  by Worden Capital Management , disclose a pending customer dispute and a  prior finalized…

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  • Robert Rex, Esq.

Christos A. Kalatoudis-Former Worden Capital Broker-Discloses Regulatory Events & Pending Judgment/Liens
Christos A. Kalatoudis-Former Worden Capital Broker-Discloses Regulatory Events & Pending Judgment/Liens 150 150 Robert Rex, Esq.

July 2016-Lake Success, New York The FINRA records of Christos A. Kalatoudis ,  a currently unlicensed stock broker who was last employed by Worden Capital Management, disclose  2 prior regulatory events,  4 prior finalized customer disputes and 2…

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  • Robert Rex, Esq.

Sperry R. Younger-NMS Capital Advisors Broker-Discloses Customer Dispute
Sperry R. Younger-NMS Capital Advisors Broker-Discloses Customer Dispute 150 150 Robert Rex, Esq.

July 2016-New York The FINRA records of Sperry R. Younger ,  a stock broker who is currently employed by NMS Capital Advisors, LLC, disclose  a currently pending regulatory event, a currently pending customer dispute,  3 prior…

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  • Robert Rex, Esq.

Thomas J. Dailey-Sterne Agee Financial Broker-Discloses $500K Customer Dispute
Thomas J. Dailey-Sterne Agee Financial Broker-Discloses $500K Customer Dispute 150 150 Robert Rex, Esq.

July 2016-Youngstown, Ohio The FINRA records of Thomas J. Dailey ,  a stock broker who is currently employed by Sterne Agee Financial Services, disclose  a currently pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is…

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  • Robert Rex, Esq.

William R. Pintaric-Former WRP Investments Broker-Discloses Customer Dispute-Youngstown, OH
William R. Pintaric-Former WRP Investments Broker-Discloses Customer Dispute-Youngstown, OH 150 150 Robert Rex, Esq.

March 2019-Cuyahoga County, Ohio The FINRA records of William Richard Pintaric , (CRD 363876) a stock broker who is currently not registered and who previously worked for WRP Investments , disclose  2 prior regulatory events, a currently…

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