Tag Archives: Customer

Greg O’Brien-Former Aegis Capital Broker-Subject of $500K Customer Suit-Boca Raton, FL

Rex Securities Law- Stockbroker Malpractice Attorney. Nationwide representation. September 2018-Boca Raton, FL The FINRA records of  Gregory Spencer O’Brien,  a  stockbroker who was formerly employed by Aegis Capital Corp. disclose a pending customer dispute and 2 prior final customer disputes. The Financial Industry … Continue reading

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Department Store Customer Injured in Escalator Accident Pursues Maryland Negligence Claim

In some Maryland negligence cases, it is difficult to determine exactly how the victim’s personal injury occurred.  Legal recourse may nevertheless be possible under the doctrine of res ipsa loquitur if the jury could infer that negligence on the part … Continue reading

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Iowa Court Says Seed Supplier Can’t Collect against Landowner Where Custom Farmer was the Customer

  On August 15, the Iowa Court of Appeals affirmed the trial court’s motion for summary judgment, finding that the lack of writing in a contract dispute prevented the introduction of evidence of an agreement. This case highlights the need … Continue reading

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Stephen Sullivan-Former Newbridge Securities Broker-Subject of $500K Customer Suit-Melville, NY

Rex Securities Law- Stockbroker Malpractice Attorney. Nationwide representation. August 2018-Melville, New York According to FINRA records,  Stephen J. Sullivan,   a stockbroker who currently works for SW Financial (formerly Salomon Whitney Financial) ,   discloses  a prior regulatory event, a pending customer dispute, a prior customer … Continue reading

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Michael Rosalia-Worden Capital Management Broker-Discloses Customer Suits-Melville, NY

Rex Securities Law- Stockbroker Malpractice Attorney. Nationwide representation. August 2018-Garden City, NY The FINRA records of  Michael R. Rosalia ,  a  financial advisor employed by  Worden Capital Management disclose  6 prior customer disputes, a bankruptcy filing and 8 outstanding judgment/liens. The Financial Industry Regulatory Authority … Continue reading

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