• Robert Rex, Esq.

Martin D. Batstone-Former Newbridge Securities Broker- Discloses 2 Regulatory Events and 6 Customer Disputes-San Diego, CA
Martin D. Batstone-Former Newbridge Securities Broker- Discloses 2 Regulatory Events and 6 Customer Disputes-San Diego, CA 150 150 Robert Rex, Esq.

January 2020 – San Diego, CA The FINRA records of of Martin David Batstone  , a suspended stockbroker who was last employed by  Newbridge Securities, disclose 2 regulatory events and  6 prior customer…

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  • Robert Rex, Esq.

Corey L. Mireau-Former Ameriprise Financial Services Broker-Discloses Regulatory Event & Settled Customer Dispute-Eden Prairie, MN
Corey L. Mireau-Former Ameriprise Financial Services Broker-Discloses Regulatory Event & Settled Customer Dispute-Eden Prairie, MN 150 150 Robert Rex, Esq.

January 2020 – Eden Prairie, MN The FINRA records of Corey Lee Mireau, a stockbroker who is currently  not registered with any broker dealer, disclose a regulatory event, 2  settled  customer disputes, …

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  • Robert Rex, Esq.

John Torres-FormerJP Morgan Broker- Discloses Pending Customer Disputes- Northridge, CA
John Torres-FormerJP Morgan Broker- Discloses Pending Customer Disputes- Northridge, CA 150 150 Robert Rex, Esq.

January 2020 – Northridge, CA According to publicly available records John Luis Torres (CRD#6322231) ,  a  former stockbroker discloses a regulatory event resulting in his bar from the industry , 2 pending…

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  • Robert Rex, Esq.

Conrad Coggeshall-Former Packerland Broker-Charged With Fraud, Scottsdale, AZ
Conrad Coggeshall-Former Packerland Broker-Charged With Fraud, Scottsdale, AZ 150 150 Robert Rex, Esq.

November 2019-Scottsdale, Arizona Conrad Coggeshall has been charged by the Securities and Exchange Commission with fraud. The SEC complaint alleges that Coggeshall raised $700,000 from four elderly investors from April…

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  • Robert Rex, Esq.

Ft. Lauderdale Man Charged with Defrauding Retiree of Retirement Savings
Ft. Lauderdale Man Charged with Defrauding Retiree of Retirement Savings 150 150 Robert Rex, Esq.

November 2019- Ft. Lauderdale, FL According to a recent press release from the United States Attorney’s Office for the Southern District of Florida, Michael Jerome Atkins, 60, was arraigned on…

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  • Robert Rex, Esq.

Douglas Lee-Former Worden Capital Management Broker-Discloses Customer Disputes-Garden City, NY
Douglas Lee-Former Worden Capital Management Broker-Discloses Customer Disputes-Garden City, NY 150 150 Robert Rex, Esq.

November 2019 – Garden City, NY The FINRA records of Douglas Lee , a stockbroker who was last employed by  Worden Capital Management , disclose a pending customer dispute and  3 prior customer disputes. The…

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  • Robert Rex, Esq.

Bradley Mascho-Former Western International Securities Broker- Charged with Securities Fraud- Frederick, MD
Bradley Mascho-Former Western International Securities Broker- Charged with Securities Fraud- Frederick, MD 150 150 Robert Rex, Esq.

November 2019 – Frederick, MD The FINRA records of Bradley Mascho  , a currently unregistered stockbroker who was last employed by  Western International Securities, discloses 2 regulatory events , a criminal event, a civil event,…

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  • Robert Rex, Esq.

Shawn B. Davis-Former Independent Financial Group Broker-Discloses 6 Pending Customer Disputes And A Prior Customer Dispute – Auburn, CA
Shawn B. Davis-Former Independent Financial Group Broker-Discloses 6 Pending Customer Disputes And A Prior Customer Dispute – Auburn, CA 150 150 Robert Rex, Esq.

October 2019 – Auburn, CA The FINRA records of Shawn Bruce Davis  , a stockbroker who was last employed by  Independent Financial Group , disclose 6 pending customer disputes and  2 prior customer disputes. The Financial…

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  • Robert Rex, Esq.

Allan Montalbano-Former Worden Capital Broker- Discloses 14 Customer Disputes- Westbury, NY
Allan Montalbano-Former Worden Capital Broker- Discloses 14 Customer Disputes- Westbury, NY 150 150 Robert Rex, Esq.

October 2019- Westbury, NY According to publicly available records Allan P Montalbano (CRD#4507029) ,  a  stockbroker who is not currently registered  and who was last registered with Worden Capital Management ,…

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  • Robert Rex, Esq.

Albert Foronda- Spartan Capital Securities Broker- Discloses Customer Disputes- NYC
Albert Foronda- Spartan Capital Securities Broker- Discloses Customer Disputes- NYC 150 150 Robert Rex, Esq.

October 2019- NYC, NY According to publicly available records Albert Foronda.   (CRD#5737620 ,  a  stockbroker  currently registered  with Spartan Capital Securities,  disclose a prior customer dispute and 2 pending customer dispute.…

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