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Rex Securities Law
March 28, 2016
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Christopher Veale Investigation-Numerous Customer Complaint & Regulatory Issues

Christopher Veale Investigation-Numerous Customer Complaint & Regulatory Issues https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 28, 2016 April 21, 2016

FINRA records report that Christopher F. Veale , of New York, who is not currently registered, is currently named in a customer dispute: FINRA Case 15-00373-customer alleges breach of fiduciary duty by Veale while…

Rex Securities Law
March 27, 2016
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Mark Cleaton Sentenced to 80 Months-Rockwall, TX

Mark Cleaton Sentenced to 80 Months-Rockwall, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 27, 2016 March 27, 2016

March 9, 2016- Rockwall, Texas The Rowlett Lakeshore Times reports that Mark Lee Cleaton, 34, of Rockwall, was sentenced to 80 months in federal prison and ordered to pay restitution…

Rex Securities Law
March 27, 2016
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Wade Lawrence-Former Southwest Securities Broker- Discloses Customer Complaints-Dallas, TX

Wade Lawrence-Former Southwest Securities Broker- Discloses Customer Complaints-Dallas, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 27, 2016 April 26, 2017

APRIL 2017 UPDATE In October 2016 Wade J. Lawrence was permanently barred by the SEC from acting as a broker, dealer, investment adviser, municipal securities dealer, municipal advisor or transfer…

Rex Securities Law
March 27, 2016
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Mark Kaplan-Former Vanderbilt Securities Broker-Barred From Industry for Churning Account of 93 Yr. Old Customer

Mark Kaplan-Former Vanderbilt Securities Broker-Barred From Industry for Churning Account of 93 Yr. Old Customer https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 27, 2016 March 10, 2018

See this for MARCH 2018 UPDATE–Mark Kaplan barred from securities industry for churning account of 93 year customer. APRIL 2017-UPDATE-In FINRA Case 16-0193 a customer of Vanderbilt Securities alleges damages…

Rex Securities Law
March 26, 2016
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Richard Gomez Investigation-Former Legend Securities Broker

Richard Gomez Investigation-Former Legend Securities Broker https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 26, 2016 April 19, 2016

FINRA records report that Richard Gomez , of New York, who is not currently registered, is currently named in two customer disputes: FINRA Case 16-0035 filed by a Florida resident against Gomez while he…

Rex Securities Law
March 26, 2016
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Salvatore Pizzimenti Investigation-Legend Securities Broker

Salvatore Pizzimenti Investigation-Legend Securities Broker https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 26, 2016 March 26, 2016

FINRA records report that Salvatore Pizzimenti , who has been registered with Legend Securities since 8/2011 , has been named in four customer disputes that have been resolved, including: FINRA Case 12-2703 filed while Pizzimenti…

Rex Securities Law
March 26, 2016
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Mario Gogliormella Investigation-Legend Securities Broker

Mario Gogliormella Investigation-Legend Securities Broker https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 26, 2016 March 26, 2016

FINRA records report that Mario Gogliormella , who has been registered with Legend Securities since 12/2010 , is currently named in three pending customer disputes: FINRA Case 15-3487 alleging unsuitability and breach…

Rex Securities Law
March 26, 2016
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Richard J. Coleman Investigation-Former Legend Securities Broker-Melville, NY

Richard J. Coleman Investigation-Former Legend Securities Broker-Melville, NY https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 26, 2016 May 12, 2017

Melville, NY MAY 2017 UPDATE-FINRA records report that Richard J. Coleman left his employment at Salomon Whitney Financial 3/2017 and as of May 11 he is not currently registered. ORIGINAL…

Rex Securities Law
March 26, 2016
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John Cangialosi -Worden Capital Management Broker-Discloses Customer Dispute Alleging Churning-New York

John Cangialosi -Worden Capital Management Broker-Discloses Customer Dispute Alleging Churning-New York https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 26, 2016 September 8, 2019

September 2019-New York FINRA records disclose that John S. Cangialosi, who is currently registered with Worden Capital Management, has two prior regulatory events, a currently pending customer dispute, 7 prior customer…