• Robert Rex, Esq.

Patrick Brown-Former Merrill Lynch Financial Advisor-Settles Customer Suit for $1.3M-Montgomery, AL
Patrick Brown-Former Merrill Lynch Financial Advisor-Settles Customer Suit for $1.3M-Montgomery, AL 150 150 Robert Rex, Esq.

Patrick L. Brown Investigation October 2021-Montgomery, AL According to publicly available records Patrick L. Brown ,  a  stockbroker who was previously registered with Merrill Lynch, discloses the recent resolution of a customer…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Ronald Metcalf, Jr. formerly with Voya Financial Advisors
Rex Securities Law Investment Fraud Attorney Investigates Ronald Metcalf, Jr. formerly with Voya Financial Advisors 150 150 Robert Rex, Esq.

Last Updated: September 2023 (Greenville, South Carolina) Ronnie Metcalf Investigation Summary Here’s what you need to know about Greenville, SC , stockbroker Ronnie Metcalf: Name: Mr. Ronald Franklin Metcalf, Jr.…

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  • Robert Rex, Esq.

NEXT Financial Group Fined by State and Federal Regulators-Houston, Texas
NEXT Financial Group Fined by State and Federal Regulators-Houston, Texas 150 150 Robert Rex, Esq.

NEXT Financial Group Investigation September 2021-Houston, TX Houston-based NEXT  Financial Group discloses 26 prior regulatory events, according to FINRA records. These regulatory sanctions include: July 2021-FINRA censured NEXT and assessed a…

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  • Robert Rex, Esq.

Noel Vincent-Former Investors Capital Corp/Madison Ave. Securities Broker-Subject of Numerous Customer Suits-Houston, TX
Noel Vincent-Former Investors Capital Corp/Madison Ave. Securities Broker-Subject of Numerous Customer Suits-Houston, TX 150 150 Robert Rex, Esq.

Noel Vincent Investigation-June 2021–Houston, Texas According to publicly available records Noel Ray Vincent, (CRD# 1370987) ,  a  stockbroker who is not currently registered , who formerly worked for Madison Avenue Securities and…

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Peter Ianace- Former Wells Fargo Broker-Subject of $18M Suit-Barred From Industry by Securities Regulator-Plano, TX
Peter Ianace- Former Wells Fargo Broker-Subject of $18M Suit-Barred From Industry by Securities Regulator-Plano, TX 150 150 ER

Peter Ianace Investigation-Plano, TX  The FINRA records of  Peter Ianace ,  a  former financial advisor who was last employed by  Wells Fargo Clearing Services, disclose a regulatory event and three customer…

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Thomas Stratton -Former World Choice Securities Broker-Barred from Securities Industry-Melbourne, FL
Thomas Stratton -Former World Choice Securities Broker-Barred from Securities Industry-Melbourne, FL 150 150 ER

Thomas Stratton Investigation September  2021 – Melbourne, FL According to publicly attained records, Thomas Ward Stratton, a stockbroker  who was last employed by World Choice Securities,  discloses a prior regulatory matter…

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  • Robert Rex, Esq.

Colorado Certified Financial Planners Disciplined by CFP Board- SEPTEMBER 2021 Update
Colorado Certified Financial Planners Disciplined by CFP Board- SEPTEMBER 2021 Update 150 150 Robert Rex, Esq.

Colorado Financial Planners Disciplined The list below, taken from the CFP board disciplinary page of their website in SEPTEMBER 2021, is a historical record of individuals from Colorado who have been disciplined by CFP Board…

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  • Robert Rex, Esq.

Georgia Certified Financial Planners Disciplined by CFP Board- SEPTEMBER 2021 Update
Georgia Certified Financial Planners Disciplined by CFP Board- SEPTEMBER 2021 Update 150 150 Robert Rex, Esq.

Georgia Financial Planners Disciplined The list below, taken from the CFP board disciplinary page of their website in SEPTEMBER 2021,  is a historical record of individuals from Georgia  who have been disciplined by…

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  • Robert Rex, Esq.

Michigan Certified Financial Planners Disciplined by CFP Board-SEPTEMBER 2021 UPDATE
Michigan Certified Financial Planners Disciplined by CFP Board-SEPTEMBER 2021 UPDATE 150 150 Robert Rex, Esq.

Michigan Financial Planners Disciplined The list below, taken from the CFP board disciplinary page of their website in SEPTEMBER 2021, is a historical record of individuals from Michigan who have been disciplined by…

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  • Robert Rex, Esq.

Ohio Certified Financial Planners Disciplined by CFP Board-SEPTEMBER 2021 UPDATE
Ohio Certified Financial Planners Disciplined by CFP Board-SEPTEMBER 2021 UPDATE 150 150 Robert Rex, Esq.

Ohio Financial Planners Disciplined The list below, taken from the CFP board disciplinary page of their website in SEPTEMBER 2021,  is a historical record of individuals from Ohio  who have been disciplined by CFP…

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