• Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates LPL Financial Broker Jimmy Rodriguez
Rex Securities Law Investment Fraud Attorney Investigates LPL Financial Broker Jimmy Rodriguez 150 150 Robert Rex, Esq.

Last Updated:  August 2023 (Hockley, Texas) Jimmy Rodriguez Investigation Summary Here’s what you need to know about Hockley, Texas stockbroker Jimmy Rodriguez: Name:  Mr. Jimmy Rodriguez Current Employer:  LPL Financial…

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  • Robert Rex, Esq.

Investment Fraud Attorney Bob Rex Investigates Broker Steven Sacoolas with PFS Investments
Investment Fraud Attorney Bob Rex Investigates Broker Steven Sacoolas with PFS Investments 150 150 Robert Rex, Esq.

Last Updated:  August 2023 (Tarpon Springs, FL) Steven Sacoolas Investigation Summary Here’s what you need to know about Tarpon Springs, FL, stockbroker Steven Sacoolas: Name:  Mr. Steven Nicholas Sacoolas Current…

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  • Robert Rex, Esq.

Investment Fraud Attorney Bob Rex Investigates Broker Tyler Pratt with Oppenheimer & Co
Investment Fraud Attorney Bob Rex Investigates Broker Tyler Pratt with Oppenheimer & Co 150 150 Robert Rex, Esq.

Last Updated:  August 2023 (Newport Beach, CA) Tyler Pratt Investigation Summary Here’s what you need to know about Newport Beach, CA stockbroker Tyler Pratt: Name:  Mr. Tyler William Pratt Current…

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  • Robert Rex, Esq.

Rex Securities Law Investigates Otho Evans with RBC Capital Markets
Rex Securities Law Investigates Otho Evans with RBC Capital Markets 150 150 Robert Rex, Esq.

Last Updated:  August 2023 (Houston, TX) Otho Evans Investigation Summary Here’s what you need to know about Houston stockbroker Otho Evans: Broker Name:  Otho Francis Evans, Jr Current Employer:  RBC…

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  • Robert Rex, Esq.

Rex Securities Law Investigates Broker Gene Theobald with RBC Capital Markets
Rex Securities Law Investigates Broker Gene Theobald with RBC Capital Markets 150 150 Robert Rex, Esq.

Last Updated:  August 2023 (Houston, Texas) Gene Theobald Investigation Summary Here’s what you need to know about Houston, TX, stockbroker Walter Eugene Theobald: Broker Name:  Walter Eugene Theobald Current Employer: …

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  • Robert Rex, Esq.

Royal Alliance, Sagepoint, FSC, Woodbury, Triad, Securities America and Others Are Now Osaic Wealth
Royal Alliance, Sagepoint, FSC, Woodbury, Triad, Securities America and Others Are Now Osaic Wealth 150 150 Robert Rex, Esq.

“Osaic Wealth” Is The Rebrand for Eight Broker Dealers August 2023 According to recent press, Advisor Group, one of the largest networks of independent broker dealers with more that 11,000…

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Curt Wilson- Former Securities America/ChangePath LLC Broker-Discloses $250K Settlement of Customer Dispute Involving Option Trading- Tulsa, OK
Curt Wilson- Former Securities America/ChangePath LLC Broker-Discloses $250K Settlement of Customer Dispute Involving Option Trading- Tulsa, OK 150 150 ER

Curt Wilson Investigation FEBRUARY 2025 UPDATE-FOLLOW THIS LINK July 2023- Tulsa, OK The FINRA records of  Curtis “Curt” Wilson,   a currently unregistered broker who was previously employed with  Securities America , disclose…

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  • ER

Gregory Sain – Former Stifel Nicolaus Broker- Discloses Prior Customer Settlements – Beverly Hills, CA
Gregory Sain – Former Stifel Nicolaus Broker- Discloses Prior Customer Settlements – Beverly Hills, CA 150 150 ER

Gregory Sain Investigation June 2023 – Beverly Hills, CA According to publicly available records  Gregory Sain ,  a broker  who was previously registered with Stifel Nicolaus and is now with Morgan…

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  • Robert Rex, Esq.

Centaurus Broker Atul Makharia Subject of Regulatory Sanctions/ Customer Complaints Over Sale of Variable Interest Rate Structured Products- Lexington, SC
Centaurus Broker Atul Makharia Subject of Regulatory Sanctions/ Customer Complaints Over Sale of Variable Interest Rate Structured Products- Lexington, SC 150 150 Robert Rex, Esq.

Atul Makharia Investigation Sold Variable Interest Rate Structured Products July 2023-Lexington, SC The FINRA records of Atul Makharia, currently employed by Centaurus Financial, disclose a  regulatory event, 9 prior customer disputes and…

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  • Robert Rex, Esq.

Madison Avenue Securities Fined By Texas Securities Regulators Over GPB Automotive Sales
Madison Avenue Securities Fined By Texas Securities Regulators Over GPB Automotive Sales 150 150 Robert Rex, Esq.

Texas Regulators Fine Madison Avenue Securities GPB Automotive Portfolio, LP    June 2023- Austin, Texas San Diego based Madison Avenue Securities was fined $20,000 by the Texas State Securities Board…

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