• Robert Rex, Esq.

Scott N. Hananel-Aegis Capital Broker-Discloses Pending Customer Complaint Alleging Unauthorized Trading
Scott N. Hananel-Aegis Capital Broker-Discloses Pending Customer Complaint Alleging Unauthorized Trading 150 150 Robert Rex, Esq.

July 2016-Melville , New York The FINRA records of Scott N. Hananel ,  a  stock broker currently employed  by Aegis Capital Corp.  , disclose a pending customer dispute and 2 prior final customer disputes. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

James B. Schwartz-Former Aegis Capital Broker-Barred for Churning Customer Accounts-New York
James B. Schwartz-Former Aegis Capital Broker-Barred for Churning Customer Accounts-New York 150 150 Robert Rex, Esq.

April 2019-Garden City, New York The FINRA records of James B. Schwartz ,  a  former stock broker  who worked for Aegis Capital from 8/2013-6/2016 and was last employed  by Joseph Gunnar & Co.  , disclose  that…

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  • Robert Rex, Esq.

David L. Sheppard-Former Aegis Capital Broker-Charged With Churning by FINRA-Barred
David L. Sheppard-Former Aegis Capital Broker-Charged With Churning by FINRA-Barred 150 150 Robert Rex, Esq.

Melville, New York UPDATE JUNE 2018-In 1/2018 a customer of Aegis Capital Corp. from Rhode Island filed FINRA arbitration 17-2867 alleging that Sheppard made unsuitable recommendations, traded the account excessively…

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  • Robert Rex, Esq.

Paul A. Falcon-Aegis Capital Broker-Discloses Customer Dispute
Paul A. Falcon-Aegis Capital Broker-Discloses Customer Dispute 150 150 Robert Rex, Esq.

July 2016-Boca Raton, Florida The FINRA records of Paul A. Falcon ,  a  stock broker currently employed  by Aegis Capital Corp. , disclose a pending customer dispute and 3 prior final customer disputes. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Kenneth L. Jones-Aegis Capital Broker-Discloses Bar From Industry & Discharge from Employment-Tampa, FL
Kenneth L. Jones-Aegis Capital Broker-Discloses Bar From Industry & Discharge from Employment-Tampa, FL 150 150 Robert Rex, Esq.

Tampa, Florida JULY 2017 UPDATE– Kenneth L. Jones refused to appear before FINRA for on the record testimony in connection with an investigation of the circumstances related to his termination…

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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.

Miami, FL-DOJ Charges Two With Securities Fraud
Miami, FL-DOJ Charges Two With Securities Fraud 150 150 Robert Rex, Esq.

July 2016-Miami, Florida The Department of Justice announced that stock promoters Daniel McKelvey, 49, of Foster City, CA and Jeffrey L. Lamson, 51, of El Dorado Hills, CA, have been charged…

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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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