stockbroker malpractice Archives

Robert Rex, Esq.
October 14, 2019

Nicholas Schiano- Spartan Capital Securities Broker-Discloses Two Customer Disputes-New York, NY

Nicholas Schiano- Spartan Capital Securities Broker-Discloses Two Customer Disputes-New York, NY https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g October 14, 2019 October 14, 2019

October 2019, New York, NY According to publicly available records Nicholas James Schiano (CRD#4429212) , a stockbroker who currently is employed by Spartan Capital Securities, discloses 1 prior customer dispute and…

Robert Rex, Esq.
October 11, 2019

Yvonne L. Silguero-LPL Financial Broker-Subject of $500K Customer Suit-McAllen, TX

Yvonne L. Silguero-LPL Financial Broker-Subject of $500K Customer Suit-McAllen, TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g October 11, 2019 October 11, 2019

January 2020-McAllen & Brownsville, TX According to publicly available records Yvonne L. Silguero (CRD#4895654) , a stockbroker who works for LPL FInancial discloses 2 pending customer disputes. The Financial Industry Regulatory…

Robert Rex, Esq.
October 11, 2019

John Dunn Gordinier – Broker With J.J.B. Hilliard, W.L. Lyons – Discloses $100K Settlement of Customer Suit- Louisville, KY

John Dunn Gordinier – Broker With J.J.B. Hilliard, W.L. Lyons – Discloses $100K Settlement of Customer Suit- Louisville, KY https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g October 11, 2019 October 11, 2019

October 2019- Louisville, KY According to publicly available records John Dunn Gordinier (CRD#2363965) , a stockbroker currently registered with J.J.B. Hilliard, W.L. Lyons discloses a recently settled customer dispute involving energy investments.…

Robert Rex, Esq.
September 21, 2019

Jack D. Stone-Former Forest Securities Broker-Discloses Customer Disputes & Regulatory Issues-Hillside, IL

Jack D. Stone-Former Forest Securities Broker-Discloses Customer Disputes & Regulatory Issues-Hillside, IL https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g September 21, 2019 September 21, 2019

September 2019 – Hillside, IL The FINRA records of Jack David Stone , a former stockbroker who was last employed by Forest Securities, Inc. , disclose 4 regulatory events, 1 pending customer dispute, 2 prior customer…

Robert Rex, Esq.
September 21, 2019

Michael Giokas-Former Fortune Financial Services-Broker-Pleads Guilty to Fraud-Williamsville, NY

Michael Giokas-Former Fortune Financial Services-Broker-Pleads Guilty to Fraud-Williamsville, NY https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g September 21, 2019 September 21, 2019

September 2019- Williamsville, NY According to publicly available records Michael Giokas (CRD# 1398674) , a former stockbroker who was last employed by Fortune Financial Services, Inc., disclose 2 prior regulatory events, a…

Robert Rex, Esq.
September 21, 2019

Michael Bressman-Former FCG Advisors Broker- Pleads Guilty to Investment Advisor Fraud-Chatham, NJ

Michael Bressman-Former FCG Advisors Broker- Pleads Guilty to Investment Advisor Fraud-Chatham, NJ https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g September 21, 2019 September 21, 2019

September 2019- Chatham, NJ According to publicly available records Michael Bressman , a currently unregistered stockbroker, who was last registered with FCG Advisors, discloses a pending investigation, a pending civil event,…

Robert Rex, Esq.
September 19, 2019

Wayne Boucher- Former Corecap Investments Broker- Discloses Settlement of Customer Disputes-Southfield,MI

Wayne Boucher- Former Corecap Investments Broker- Discloses Settlement of Customer Disputes-Southfield,MI https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g September 19, 2019 September 19, 2019

September 2019 -Southfield, MI According to publicly available records Wayne T. Boucher (CRD#26819) , a currently unregistered stockbroker who last worked for Corecap Investments disclose 32 prior customer disputes. The Financial Industry Regulatory…

Robert Rex, Esq.
September 19, 2019

Chris Fernan – Former Salomon Whitney Broker- Discloses Regulatory Event, 7 Customer Disputes and a Termination From Employment-Greenlawn, NY

Chris Fernan – Former Salomon Whitney Broker- Discloses Regulatory Event, 7 Customer Disputes and a Termination From Employment-Greenlawn, NY https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g September 19, 2019 September 19, 2019

July 2021 – Greenlawn, NY The FINRA records of Christopher Anthony Fernan , a currently unregistered stockbroker who was last employed by Salomon Whitney Financial , disclose 2 regulatory events, a criminal event, 1 pending customer…

Robert Rex, Esq.
September 19, 2019

Jaime R. Rodriguez- Former Cuso Financial Services Broker – Permanently Barred from Industry by FINRA for Stealing from Elderly, Blind Customer- Port Chester, NY

Jaime R. Rodriguez- Former Cuso Financial Services Broker – Permanently Barred from Industry by FINRA for Stealing from Elderly, Blind Customer- Port Chester, NY https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g September 19, 2019 September 19, 2019

September 2019 – Port Chester, NY The FINRA records of Jamie R. Rodriguez, a former stockbroker who was last employed by Cuso Financial Services disclose he has been barred from the securities industry…

Robert Rex, Esq.
September 19, 2019

Stephen Pizzuti – Former Freedom Investors Corp. Broker – Discloses 3 Regulatory Events and Customer Suits – Altamonte Springs, FL

Stephen Pizzuti – Former Freedom Investors Corp. Broker – Discloses 3 Regulatory Events and Customer Suits – Altamonte Springs, FL https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g September 19, 2019 September 19, 2019

September 2019 – Brookfield, Wi The FINRA records of Stephen Douglas Pizzuti (CRD #1461660) a stockbroker who formerly was employed by Freedom Investors Corp. disclose 3 final regulatory events and 8 prior customer…

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