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Citigroup/Smith Barney

Robert David-Former Morgan Stanley Broker-Discloses Multiple Customer Disputes -Farmington Hills, MI

Robert David-Former Morgan Stanley Broker-Discloses Multiple Customer Disputes -Farmington Hills, MI 150 150 ER

Robert David Investigation May 2022- Farmington Hills, MI According to FINRA records,  Robert C. David, Jr.  ,  a broker  who previously worked for Morgan Stanley , discloses a regulatory event,…

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Nicholas J. Schiano- Former Worden Capital Management Broker- Discloses Customer Disputes- NYC

Nicholas J. Schiano- Former Worden Capital Management Broker- Discloses Customer Disputes- NYC 150 150 Rex Securities Law

September 2019, New York, NY According to publicly available records Nicholas James Schiano   (CRD#4429212) ,  a  stockbroker currently registered  with Spartan Capital Securities,  disclose 1 prior customer dispute and 1 pending…

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Employer of Stuart, FLA, Broker Christopher D. Sinkula Named in FINRA Arbitration

Employer of Stuart, FLA, Broker Christopher D. Sinkula Named in FINRA Arbitration 150 150 Rex Securities Law

FOLLOW THIS LINK FOR FEBRUARY 2019 UPDATE-Chris SInkula subject of pending customer disputes of nearly $3 million.  Original Post-September 2017-Stuart, Florida We have filed a FINRA arbitration claim against Janney…

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Employer of Stuart, FLA, Broker Christopher D. Sinkula Named in FINRA Arbitration

Employer of Stuart, FLA, Broker Christopher D. Sinkula Named in FINRA Arbitration 150 150 Rex Securities Law

FOLLOW THIS LINK FOR FEBRUARY 2019 UPDATE-Chris SInkula subject of pending customer disputes of nearly $3 million.  September 2017-Stuart, Florida We have filed a FINRA arbitration claim against Janney Montgomery…

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Chris Sinkula Investigation-Janney Montgomery Broker Discloses $2.3M Customer Suit-Stuart, FL

Chris Sinkula Investigation-Janney Montgomery Broker Discloses $2.3M Customer Suit-Stuart, FL 150 150 Rex Securities Law

February 2019-Stuart, Florida According to public records, Christopher D. SInkula  (CRD#2001512))  a  stockbroker who is currently employed by Janney Montgomery Scott,  discloses 2 pending customer disputes and 9 prior customer disputes that have…

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Bruce R. Clark-Wells Fargo Broker-Disciplined by Texas Regulator-Longview, TX

Bruce R. Clark-Wells Fargo Broker-Disciplined by Texas Regulator-Longview, TX 150 150 Rex Securities Law

December 2016- Longview, Texas The Texas State Securities Board (TSSB) sanctioned  Bruce Russell Clark (CRD# 2848753) of Longview, Texas,  reprimanding him and assessing an administrative fine of $5,000. According to the TSSB…

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Mark S. Garfinkel-Oppenheimer Broker, Boca Raton-Discloses Customer Disputes and Bankruptcy Filing

Mark S. Garfinkel-Oppenheimer Broker, Boca Raton-Discloses Customer Disputes and Bankruptcy Filing 150 150 Rex Securities Law

August  2016-Boca Raton, Florida The FINRA records of Mark S. Garfinkel ,  a  stock broker who is currently employed  by Oppenheimer & Co.  , disclose  five prior  customer disputes and and one financial event. The Financial Industry Regulatory…

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John M. Gregory-Former Citigroup Broker-Discloses Termination from Employment

John M. Gregory-Former Citigroup Broker-Discloses Termination from Employment 150 150 Rex Securities Law

White Plains, New York According to FINRA records,  John M. Gregory  ,  a stockbroker  who currently works  for Prospera Financial Services , discloses  a  termination from employment . The Financial Industry Regulatory Authority (FINRA) is…

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