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Unsuitable Investments

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 Rex Securities Law

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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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 Rex Securities Law

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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Donald J. Fowler-Worden Capital Management Broker-Discloses Customer Disputes Alleging Churning & Receipt of Wells Notice
Donald J. Fowler-Worden Capital Management Broker-Discloses Customer Disputes Alleging Churning & Receipt of Wells Notice 150 150 Rex Securities Law

UPDATE APRIL 2018-Donald Fowler charged with excessive trading and other securities violations by US Securities and Exchange Commission. See this for details.  UPDATE August 2016–Fowler discloses regulatory investigation. On July 15, 2016,…

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Gregory T. Dean-Worden Capital Management Broker-Discloses Customer Complaints Alleging Churning
Gregory T. Dean-Worden Capital Management Broker-Discloses Customer Complaints Alleging Churning 150 150 Rex Securities Law

AUGUST 2019 UPDATE-Gregory Dean barred from securities industry by regulators for churning customer accounts. See this for more details.  UPDATE April 2018–Gregory Dean discloses additional customer disputes on his FINRA…

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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 Rex Securities Law

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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Joseph C. Alexander-Sterne Agee Financial Broker-Discloses Customer Dispute
Joseph C. Alexander-Sterne Agee Financial Broker-Discloses Customer Dispute 150 150 Rex Securities Law

July 2016-Pell City, Alabama The FINRA records of Joseph C. Alexander ,  a stock broker who is currently employed by Sterne Agee Financial Services, disclose  a currently pending customer dispute and a prior finalized customer…

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Thomas J. Dailey-Sterne Agee Financial Broker-Discloses $500K Customer Dispute
Thomas J. Dailey-Sterne Agee Financial Broker-Discloses $500K Customer Dispute 150 150 Rex Securities Law

July 2016-Youngstown, Ohio The FINRA records of Thomas J. Dailey ,  a stock broker who is currently employed by Sterne Agee Financial Services, disclose  a currently pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is…

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William R. Pintaric-Former WRP Investments Broker-Discloses Customer Dispute-Youngstown, OH
William R. Pintaric-Former WRP Investments Broker-Discloses Customer Dispute-Youngstown, OH 150 150 Rex Securities Law

March 2019-Cuyahoga County, Ohio The FINRA records of William Richard Pintaric , (CRD 363876) a stock broker who is currently not registered and who previously worked for WRP Investments , disclose  2 prior regulatory events, a currently…

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