• Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Cody Roos formerly with LPL Financial Services
Rex Securities Law Investment Fraud Attorney Investigates Cody Roos formerly with LPL Financial Services 150 150 Robert Rex, Esq.

Last Updated: February 2024 (Kearneysville, WV) Cody Roos Investigation Summary Here’s what you need to know about Kearneysville, WV, stockbroker Cody Roos: Name: Mr. Cody Robert Roos Current Employer: Currently…

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  • Robert Rex, Esq.

Securities Arbitration vs. Securities Mediation
Securities Arbitration vs. Securities Mediation 150 150 Robert Rex, Esq.

  The Financial Industry Regulatory Authority (FINRA) provides the following explanation of the difference between Arbitration and Mediation: “Overview Arbitration and mediation are two distinct ways of resolving securities and…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Joseph Audia formerly with Joseph Stone Capital
Rex Securities Law Investment Fraud Attorney Investigates Joseph Audia formerly with Joseph Stone Capital 150 150 Robert Rex, Esq.

Last Updated: February 2024 (Hauppauge, NY) Joseph Audia Investigation Summary Here’s what you need to know about Hauppauge, NY, stockbroker Joseph Audia: Name: Mr. Joseph Scott Audia Current Employer: VCS…

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Kimberley Nuessmann – Former Securities America Advisor Discloses a Regulatory Event-Redwood City, CA
Kimberley Nuessmann – Former Securities America Advisor Discloses a Regulatory Event-Redwood City, CA 150 150 ER

Kimberly Nuessmann Investigation February 2024 -Redwood City, CA Kimberly Nuessmann, an unregistered stockbroker who was previously registered with Securities America, Inc.  discloses a regulatory event on her FINRA record. The…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Bulltick LLC Broker Javier Martin-Riva
Rex Securities Law Investment Fraud Attorney Investigates Bulltick LLC Broker Javier Martin-Riva 150 150 Robert Rex, Esq.

Last Updated: February 2024 (Miami, FL) Javier Martin-Riva Investigation Summary Here’s what you need to know about Miami, FL, stockbroker Javier Martin-RIva: Name: Mr. Javier Martin-Riva Current Employer: Bulltick LLC,…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Marty Valade formerly with Woodbury Financial Services
Rex Securities Law Investment Fraud Attorney Investigates Marty Valade formerly with Woodbury Financial Services 150 150 Robert Rex, Esq.

Last Updated: February 2024 (Cypress, CA) Marty Valade Investigation Summary Here’s what you need to know about Cypress, CA, stockbroker Marty Valade: Name: MR. Martin Valade Current Employer: Osaic Wealth…

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Christine Warner-Monticello Financial Group Broker-Discloses Regulatory Suspension- Mount Pleasant, TX
Christine Warner-Monticello Financial Group Broker-Discloses Regulatory Suspension- Mount Pleasant, TX 150 150 ER

Christine Warner Investigation Feburary 2024-Mount Pleasant, TX According to publicly available records Christine Anne Warner, a Monticello Financial Group broker discloses a final regulatory matter. The Financial Industry Regulatory Authority (FINRA) is…

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  • Robert Rex, Esq.

Francisco Valenzuela-Former Morgan Stanley Broker-Ordered to Pay Mexican Farmer $160,000 -Phoenix, AZ
Francisco Valenzuela-Former Morgan Stanley Broker-Ordered to Pay Mexican Farmer $160,000 -Phoenix, AZ 150 150 Robert Rex, Esq.

Francisco Valenzuela Investigation February 2024- Phoenix, AZ  According to FINRA records,  Francisco J. Valenzuela ,  a former broker  who previously worked for Morgan Stanley , discloses 2 regulatory events,  4 prior…

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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 February 2024- 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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  • Robert Rex, Esq.

Jon Ellefson – Intervest International Equities Broker-GWG L- Bond Suit – Harker Heights, TX
Jon Ellefson – Intervest International Equities Broker-GWG L- Bond Suit – Harker Heights, TX 150 150 Robert Rex, Esq.

Jon Ellefson & GWG L-Bond Investigation February 2024-Harker Heights, TX The FINRA records of Jonathan Eric Ellefson,  an  Intervest International Equities Corp.  broker was recently named in a FINRA arbitration by a…

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