• Robert Rex, Esq.

Greg Williams-Former Forta Financial Advisor-Subject of Customer Suits Seeking Millions-Greenwood, CO
Greg Williams-Former Forta Financial Advisor-Subject of Customer Suits Seeking Millions-Greenwood, CO 150 150 Robert Rex, Esq.

Greg Williams Investigation November 2021-Greenwood, CO According to publicly available records, Gregory Jon Williams, a former broker who was last employed by Fort Finanical Group,  discloses  6 pending and  3…

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  • Robert Rex, Esq.

Bryant Caveness-Former Ameriprise Financial Broker-Discloses Customer Suits-Kingsport, TN
Bryant Caveness-Former Ameriprise Financial Broker-Discloses Customer Suits-Kingsport, TN 150 150 Robert Rex, Esq.

Bryant Caveness Investigation November 2021-Kingsport, TN According to publicly available records,  Bryant E. Caveness, a former broker who was last employed by  Ameriprise Financial Services,  discloses  a recent regulatory matter, 3…

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  • Robert Rex, Esq.

David Murray-Former Worden Capital/ Laidlaw & Co. Broker- Subject of Churning Suits- Melville, NY
David Murray-Former Worden Capital/ Laidlaw & Co. Broker- Subject of Churning Suits- Melville, NY 150 150 Robert Rex, Esq.

David M. Murray Investigation  November  2021- Holmdel, NJ According to publicly available records David Murray (CRD#1870050), a stockbroker currently employed with  Monmouth Capital Management LLC,  discloses 3 pending and 3 prior…

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  • Robert Rex, Esq.

Eddy Torriente-Comerica Securities Broker- Subject of $50M Unauthorized Trading Suit- Scottsdale, AZ
Eddy Torriente-Comerica Securities Broker- Subject of $50M Unauthorized Trading Suit- Scottsdale, AZ 150 150 Robert Rex, Esq.

William Torriente Investigation July 2022- Mt. Dora, Florida According to publicly available records,  William “Eddy” Torriente, Jr. ,  a financial advisor previously employed by Comerica Securities, discloses a final regulatory matter,…

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  • Robert Rex, Esq.

Gregory Collier-Raymond James Broker- Discloses Settlement of Unauthorized Trading Complaint- Mt. Dora, FL
Gregory Collier-Raymond James Broker- Discloses Settlement of Unauthorized Trading Complaint- Mt. Dora, FL 150 150 Robert Rex, Esq.

Gregory Collier Investigation November 2021- Mt. Dora, Florida According to publicly available records,  Gregory C. Collier, Sr. ,  a financial advisor employed by Raymond James Financial Services, Inc., discloses two customer…

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  • Robert Rex, Esq.

“Doc” Gallagher-The “Money Doctor”-Sentenced For Operating Ponzi scheme-Fort Worth, TX
“Doc” Gallagher-The “Money Doctor”-Sentenced For Operating Ponzi scheme-Fort Worth, TX 150 150 Robert Rex, Esq.

Doc Gallagher Punishment-3 Life Sentences-Plus 30 Years Bible Thumping Advisor Preyed Upon Churchgoers  November 2021-Fort Worth, TX  “Doc Gallagher” According to recent press William Neil “Doc” Gallagher was sentenced to…

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  • ER

Daniel James O’Neill-Aegis Capital Corp. Financial Advisor-Has Regulatory Event, Customer Suits, a Termination and Liens-Melville, NY
Daniel James O’Neill-Aegis Capital Corp. Financial Advisor-Has Regulatory Event, Customer Suits, a Termination and Liens-Melville, NY 150 150 ER

Daniel James O’Neill Investigation Former Aegis Capital Financial Advisor November 2021-Melville, NY According to publicly available records Daniel J. O’Neill,  a  former stockbroker registered with Aegis Capital Corporation, disclose a…

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  • ER

Douglas Szempruch -Former Aegis Capital Corp. Broker-Suspended by FINRA-Melville, NY
Douglas Szempruch -Former Aegis Capital Corp. Broker-Suspended by FINRA-Melville, NY 150 150 ER

Douglas Szempruch Investigation Former Aegis Capital Financial Advisor November 2021 – Melville, NY According to publicly attained records, Douglas Szempruch, a stockbroker who is not currently registered  and who was last…

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John Timberlake – Former Carter, Terry & Company- Discloses Regulatory Event, Pending Customer Dispute, 3 Settled Customer Disputes and a Termination- Atlanta, GA
John Timberlake – Former Carter, Terry & Company- Discloses Regulatory Event, Pending Customer Dispute, 3 Settled Customer Disputes and a Termination- Atlanta, GA 150 150 ER

John Timberlake Investigation Former Carter, Terry & Co./ Suntrust Financial Advisor November 2021- Atlanta, GA According to publicly available records John H. Timberlake,  a financial advisor who previously was employed by…

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  • ER

Michael Biedny-Former Raymond James Broker- Discloses Regulatory Event, Customer Dispute and a Termination- Clarence, NY
Michael Biedny-Former Raymond James Broker- Discloses Regulatory Event, Customer Dispute and a Termination- Clarence, NY 150 150 ER

Michael Biedny Investigation August 2021- Clarence, NY According to publicly available records,  Michael Biedny,  a financial advisor who previously was employed by Raymond James Financial Services, Inc., discloses a regulatory event,…

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