• Robert Rex, Esq.

Morgan Stanley Ordered By FINRA Panel to Pay $8.6 Million to Customer
Morgan Stanley Ordered By FINRA Panel to Pay $8.6 Million to Customer 150 150 Robert Rex, Esq.

Los Angeles, CA In an arbitration conducted by the Financial Industry Regulatory Authority (FINRA) Morgan Stanley was ordered to pay a retiree over $8.6 million in damages for unauthorized trading…

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  • Robert Rex, Esq.

Felix A. Bartolomei-Cuso Financial Services Broker-Discloses Pending Customer Disputes
Felix A. Bartolomei-Cuso Financial Services Broker-Discloses Pending Customer Disputes 150 150 Robert Rex, Esq.

Orlando, Florida According to FINRA records,  Felix Alberto Bartolomei ,   a stockbroker  employed by Cuso Financial Services , discloses  3 pending customer disputes and 2 final customer disputes. The Financial Industry Regulatory Authority (FINRA) is the agency…

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  • Robert Rex, Esq.

Douglas C. Robb-Former Cuso Financial Services Broker-Discloses Termination From Employment
Douglas C. Robb-Former Cuso Financial Services Broker-Discloses Termination From Employment 150 150 Robert Rex, Esq.

Port Chester, New York According to FINRA records,  Douglas C. Robb, Jr. ,   a stockbroker who was recently employed by Cuso Financial Services , discloses  a termination. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and…

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  • Robert Rex, Esq.

Richard Lim-Former Caldwell International Securities Broker-Named in Regulatory Complaint-Englewood Cliffs, NJ
Richard Lim-Former Caldwell International Securities Broker-Named in Regulatory Complaint-Englewood Cliffs, NJ 150 150 Robert Rex, Esq.

Englewood Cliffs, New Jersey According to FINRA records,  Richard Lim,   a stockbroker who was formerly employed by Caldwell International Securities, discloses  a pending regulatory investigation and 3 presently outstanding judgement/liens . The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Frank D. Marinelli-Former J.P. Turner Broker-Discloses Two Pending Customer Disputes
Frank D. Marinelli-Former J.P. Turner Broker-Discloses Two Pending Customer Disputes 150 150 Robert Rex, Esq.

Staten Island, New York According to FINRA records,  Frank D. Marinelli,   a stockbroker who currently works for Southeast Investments,  discloses  two pending customer disputes, a termination, two pending judgment/liens and two final customer…

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  • Robert Rex, Esq.

Douglas J. Williams-VFinance Investments Broker-Discloses $2.5M Customer Dispute-The Woodlands, TX
Douglas J. Williams-VFinance Investments Broker-Discloses $2.5M Customer Dispute-The Woodlands, TX 150 150 Robert Rex, Esq.

The Woodlands, Texas MAY 2017 UPDATE-In September 2016, the customer who filed FINRA arbitration 15-0049, see below,  was paid $420,000 to settle the matter. ORIGINAL POST JUNE 2016– According to FINRA…

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  • Robert Rex, Esq.

Terry W. Chilton-Former IMS Securities Broker-Discloses Regulatory Investigation/Customer Dispute
Terry W. Chilton-Former IMS Securities Broker-Discloses Regulatory Investigation/Customer Dispute 150 150 Robert Rex, Esq.

June 2016—-Beaumont, Texas According to FINRA records,  Terry W. Chilton ,   a stockbroker who formerly was employed by IMS Securities.   discloses  a pending regulatory investigation and a pending customer dispute. In June 2015, a FINRA…

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  • Robert Rex, Esq.

Stephen Dealy-Investors Capital Corp Stockbroker-Discloses Pending Oil & Gas Customer Complaint
Stephen Dealy-Investors Capital Corp Stockbroker-Discloses Pending Oil & Gas Customer Complaint 150 150 Robert Rex, Esq.

Port Orange, Florida According to FINRA records, Stephen Y. Dealy ,  a broker who was  registered  with Investors Capital Corp until 9/2014 , discloses a pending customer dispute and 9 finalized customer disputes. In addition,…

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  • Robert Rex, Esq.

Wilson G. Saville-Barrett & Co.-Lose Customer Arbitration
Wilson G. Saville-Barrett & Co.-Lose Customer Arbitration 150 150 Robert Rex, Esq.

JUNE 2018 UPDATE-IN 5/2016 a FINRA arbitration panel awarded damages of $267,890 to the Barrett & Company customer that filed FINRA Case 14-0755 discussed below. ORIGINAL POST MAY 2016 Providence,…

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