• Robert Rex, Esq.

Joshua S. Fortin-Money Capital Concepts Broker-Discloses Regulatory Investigation
Joshua S. Fortin-Money Capital Concepts Broker-Discloses Regulatory Investigation 150 150 Robert Rex, Esq.

July 2016- Cincinnati, OH The FINRA records of Joshua Standish “J.S.”  Fortin  , a stock broker currently employed by Money Concepts Capital Corp , disclose  a prior final regulatory event, a prior final customer dispute and a…

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  • Robert Rex, Esq.

Craig A. Sutherland-Money Concepts Capital Broker-Discloses $500K Customer Dispute
Craig A. Sutherland-Money Concepts Capital Broker-Discloses $500K Customer Dispute 150 150 Robert Rex, Esq.

MAY 2018 UPDATE–Craig Sutherland discloses additional customer arbitration filings and a recent FINRA sanction. See this for more.  ORIGINAL POST-July 2016- Columbus, OH The FINRA records of Craig A. Sutherland  , a stock broker…

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  • Robert Rex, Esq.

Gary L. Glover-Former Ameriprise Broker-Disputes Customer Dispute Over Tenant in Common Investment
Gary L. Glover-Former Ameriprise Broker-Disputes Customer Dispute Over Tenant in Common Investment 150 150 Robert Rex, Esq.

July 2016- John Creek, Georgia The FINRA records of Gary L. Glover  , a stock broker currently employed by Concorde Investment Services, disclose  a prior final customer dispute,  2 pending customer disputes, a prior final financial event…

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  • Robert Rex, Esq.

Barry W. Lemay-Former VSR Financial Broker-Discloses Customer Dispute Over Alternative Investments
Barry W. Lemay-Former VSR Financial Broker-Discloses Customer Dispute Over Alternative Investments 150 150 Robert Rex, Esq.

Campbell, CA According to FINRA records,  Barry W. Lemay ,  a stockbroker  who  formerly worked for VSR Financial Services discloses  9 final customer disputes and  one pending customer dispute. The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Douglas C. Osborn-L.M. Kohn Stock Broker Discloses Customer Dispute
Douglas C. Osborn-L.M. Kohn Stock Broker Discloses Customer Dispute 150 150 Robert Rex, Esq.

July 2016- Troy, Michigan The FINRA records of Douglas C. Osborn , a stock broker employed by L.M. Kohn & Company, disclose  a pending customer arbitration. The Financial Industry Regulatory Authority (FINRA) is the agency that…

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  • Robert Rex, Esq.

Primex Broker Jeffrey S. Cederberg Discloses Sanction -San Luis Obispo, CA
Primex Broker Jeffrey S. Cederberg Discloses Sanction -San Luis Obispo, CA 150 150 Robert Rex, Esq.

San Luis Obispo, CA UPDATE JULY 2017-In April 2017, Jeffrey Cederberg was fined $5,000 and suspended for four months by FINRA to resolve allegations that he failed to timely amend…

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  • Robert Rex, Esq.

Garden State Securities Order to Pay Damages for Investment Losses
Garden State Securities Order to Pay Damages for Investment Losses 150 150 Robert Rex, Esq.

July 5, 2016-New York A Financial Industry Regulatory Authority (FINRA)  arbitration panel ordered Garden State Securities, based in Red Bank, New Jersey, to pay an elderly customer over $142,000 to…

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  • Robert Rex, Esq.

Kenley Brisard -Former RIdgeway & Conger Broker-Discloses Regulatory Investigation and Termination From Employment
Kenley Brisard -Former RIdgeway & Conger Broker-Discloses Regulatory Investigation and Termination From Employment 150 150 Robert Rex, Esq.

Jericho, New York According to FINRA records,  Kenley Brisard ,   a stockbroker who formerly worked for  Ridgeway & Conger   discloses a pending regulatory matter, a  final customer dispute and 2 terminations from employment and 3 pending judgment/liens.…

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