• Robert Rex, Esq.

Dominic DeBruin-Former LPL Financial Broker-Barred From Securities Industry
Dominic DeBruin-Former LPL Financial Broker-Barred From Securities Industry 150 150 Robert Rex, Esq.

November 2016-Mesa, AZ The FINRA records of  Dominic T. DeBruin,  a  former stockbroker with LPL Financial,  disclose that he has been permanently barred from acting as a broker or otherwise associating with…

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  • Robert Rex, Esq.

Levi Lindemann Sentenced to Six Years for Alternative Wealth Solutions Fraud
Levi Lindemann Sentenced to Six Years for Alternative Wealth Solutions Fraud 150 150 Robert Rex, Esq.

November 2016-Stillwater, MN The Star Tribune reports that Levi Lindemann, the financial advisor from Stillwater who pleaded guilty to mail fraud and money laundering, was sentenced to more than six…

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  • Robert Rex, Esq.

VFG Securities-Jason Vanclef-Sanctioned by Securities Regulator
VFG Securities-Jason Vanclef-Sanctioned by Securities Regulator 150 150 Robert Rex, Esq.

November 2016-Plano, Texas/Culver City, CA VFG Securities, Inc. and its owner, Jason Vanclef, reached a settlement with the Financial Industry Regulatory Authority (FINRA) to resolve allegations by the securities industry…

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  • Robert Rex, Esq.

Stanley Niekras-Former Purshe Kaplan Broker-Charged in Regulatory Complaint Alleging Financial Abuse of Elderly
Stanley Niekras-Former Purshe Kaplan Broker-Charged in Regulatory Complaint Alleging Financial Abuse of Elderly 150 150 Robert Rex, Esq.

November 2016-Watertown, New York The FINRA records of  Stanley C. Niekras,  a  stockbroker who was formerly  employed by  Purshe Kaplan Sterling Investments disclose 7 prior customer disputes that have been resolved and a currently pending regulatory…

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  • Robert Rex, Esq.

Gerald Cocuzzo-Former Newbridge Securities Broker-Sentenced to 18 Months for Securities Fraud-Boca Raton,FL
Gerald Cocuzzo-Former Newbridge Securities Broker-Sentenced to 18 Months for Securities Fraud-Boca Raton,FL 150 150 Robert Rex, Esq.

Boca Raton, FL July 2017 UPDATE– Gerald Cocuzzo was sentenced to 18 months in prison after pleading guilty to securities fraud for his participation in the manipulation of Forcefield Energy,…

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  • Robert Rex, Esq.

Anthony Mazzo-Former UBS Financial Broker-Discloses Customer Dispute
Anthony Mazzo-Former UBS Financial Broker-Discloses Customer Dispute 150 150 Robert Rex, Esq.

November 2016-Palm Beach, Florida The FINRA records of  Anthony J. Mazzo,  a  stockbroker who is currently  employed by  BB&T Securities disclose 4 prior customer disputes that have been resolved, a currently pending customer dispute and…

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  • Robert Rex, Esq.

Ronald Kudlacek-VSR Financial Services Broker-Discloses Settlement of Customer Dispute Involving Annuity
Ronald Kudlacek-VSR Financial Services Broker-Discloses Settlement of Customer Dispute Involving Annuity 150 150 Robert Rex, Esq.

The FINRA records of  Ronald J. Kudlacek,  a  stockbroker who is currently  employed by  VSR Financial Services & Summit Brokerage Services disclose a prior customer dispute that has been resolved. The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

VSR Financial-Overland Park, KS, Brokerage Firm- Shutting Down Operations
VSR Financial-Overland Park, KS, Brokerage Firm- Shutting Down Operations 150 150 Robert Rex, Esq.

November 3, 2016-Overland Park, KS The Kansas City Star reports that VSR Financial, which has been in business since 1984, it shutting down and moving its brokers and customers to…

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  • Robert Rex, Esq.

Rick Davidson-Former Morgan Stanley Broker-Discloses Settlement of Customer Suits
Rick Davidson-Former Morgan Stanley Broker-Discloses Settlement of Customer Suits 150 150 Robert Rex, Esq.

SEPTEMBER 2018 The FINRA records of  Rick A. Davidson,  a  stockbroker who is currently employed by  National Securities Corporation  disclose 5 prior customer disputes that that are final  and a separation from employment after allegations. The…

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