• Robert Rex, Esq.

Ralph A. Jackson, III- Morgan Stanley Broker-Discloses $7M in Settled Customer Disputes-Los Angeles, CA
Ralph A. Jackson, III- Morgan Stanley Broker-Discloses $7M in Settled Customer Disputes-Los Angeles, CA 150 150 Robert Rex, Esq.

July 2021-Los Angeles, CA According to publicly available records,  Ralph A. Jackson, III (CRD#1569213), a broker currently employed with  Morgan Stanley,  discloses 4 prior customer disputes that were settled. The…

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  • Robert Rex, Esq.

Jeffrey Leach-Morgan Stanley & Co. Broker- Discloses Regulatory Event and a Settled Customer Dispute-Naples, FL
Jeffrey Leach-Morgan Stanley & Co. Broker- Discloses Regulatory Event and a Settled Customer Dispute-Naples, FL 150 150 Robert Rex, Esq.

July 2023-Naples, FL According to publicly available records,  a Morgan Stanley & Co. (MSSB)  financial advisor Jeffrey H. Leach (The Leach Group),  discloses a regulatory event and a settled customer…

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  • Robert Rex, Esq.

Timothy Cooney-Former Allstate Financial Broker-Permanently Barred From FINRA- Sandwich, MA
Timothy Cooney-Former Allstate Financial Broker-Permanently Barred From FINRA- Sandwich, MA 150 150 Robert Rex, Esq.

July 2021- Sandwich, MA According to publicly available records Timothy Cooney (CRD#2946727), a  former stockbroker who last worked for Allstate Financial Services,  has been permanently barred from FINRA. The Financial…

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  • Robert Rex, Esq.

John Grifonetti- Former Bardown Capital Broker- Permanently Barred from FINRA- Old Tappan, NJ
John Grifonetti- Former Bardown Capital Broker- Permanently Barred from FINRA- Old Tappan, NJ 150 150 Robert Rex, Esq.

July 2021- Old Tappan, NJ According to publicly available records John Grifonetti (CRD#3040205), a  former stockbroker who last worked for Bardown Capital,  discloses 9 final regulatory events. The Financial Industry…

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  • Robert Rex, Esq.

Martin Noonan-Former BMA Securities Broker-Permanently Barred from FINRA-Discloses Customer Dispute & Outstanding Liens- El Segundo, CA
Martin Noonan-Former BMA Securities Broker-Permanently Barred from FINRA-Discloses Customer Dispute & Outstanding Liens- El Segundo, CA 150 150 Robert Rex, Esq.

July 2021- El Segundo, CA According to publicly available records, former BMA Securities  financial advisor Martin Noonan,  has been barred from FINRA and discloses a pending customer dispute and outstanding…

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  • Robert Rex, Esq.

Dennis James Murphy-Monmouth Capital Broker-Permanently Barred from FINRA- Discloses Customer Disputes and Liens- Red Bank, NJ
Dennis James Murphy-Monmouth Capital Broker-Permanently Barred from FINRA- Discloses Customer Disputes and Liens- Red Bank, NJ 150 150 Robert Rex, Esq.

July 2021- Red Bank, NJ According to publicly available records, former Monmouth Capital  financial advisor Dennis James Murphy,  has been barred from FINRA. The Financial Industry Regulatory Authority (FINRA) is the…

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  • Robert Rex, Esq.

Moe Azizi-Centaurus Financial Broker-Discloses Customer Disputes-San Jose, CA
Moe Azizi-Centaurus Financial Broker-Discloses Customer Disputes-San Jose, CA 150 150 Robert Rex, Esq.

July 2021-San Jose, CA According to publicly available records.  Marco “Moe” Azizi (CRD#2154719), a broker employed with Centaurus Financial, Inc.,  discloses 1 pending and 4 prior customer disputes. The Financial…

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  • Robert Rex, Esq.

James Parrelly-Former Investment Planners Broker- Discloses 3 Regulatory Events, 7 Final Customer Disputes, 1 Pending Customer Dispute and a Termination-Dearborn, MI
James Parrelly-Former Investment Planners Broker- Discloses 3 Regulatory Events, 7 Final Customer Disputes, 1 Pending Customer Dispute and a Termination-Dearborn, MI 150 150 Robert Rex, Esq.

July 2021- Dearborn, MI According to publicly available records James Parrelly (CRD#728368), an unregistered broker who last worked for Investment Planners, Inc.,  discloses 3 regulatory events,  7 final customer disputes,…

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  • Robert Rex, Esq.

Richard Demetriou -Titan Securities Broker-Permanently Barred from FINRA- Addison, TX
Richard Demetriou -Titan Securities Broker-Permanently Barred from FINRA- Addison, TX 150 150 Robert Rex, Esq.

Richard Demetriou Investigation Former Titan Securities Financial Advisor June 2021 – Addison, TX According to publicly available records, former Titan Securities,  financial advisor Richard Demetriou,  has been barred from the securities…

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  • Robert Rex, Esq.

Darrin Cohen-Triad Advisors Broker-Discloses $600K in Pending Customer Disputes- Alpharetta, GA
Darrin Cohen-Triad Advisors Broker-Discloses $600K in Pending Customer Disputes- Alpharetta, GA 150 150 Robert Rex, Esq.

June 2021- Alpharetta, GA According to publicly available records,   Triad Advisors, Inc. financial advisor Darrin Cohen,  discloses 2 pending customer disputes. The Financial Industry Regulatory Authority (FINRA) is the agency that…

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