• Robert Rex, Esq.

Steven Harris-Former Transamerica Financial Broker-Barred from FINRA- Burr Ridge, IL
Steven Harris-Former Transamerica Financial Broker-Barred from FINRA- Burr Ridge, IL 150 150 Robert Rex, Esq.

April 2021- Burr Ridge, IL According to publicly available records, former Transamerica Financial Advisors, Inc.  financial advisor Steven Harris, discloses two regulatory events, a termination and has been barred from the…

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  • Robert Rex, Esq.

Sylvester Knox-Former FSC Securities Broker-Discloses Regulatory Events, Customer Settlements of nearly $3.7M- Short Hills, NJ
Sylvester Knox-Former FSC Securities Broker-Discloses Regulatory Events, Customer Settlements of nearly $3.7M- Short Hills, NJ 150 150 Robert Rex, Esq.

April 2021- Short Hills, NJ According to his FINRA record  Sylvester Knox a financial advisor previously employed by FSC Securities Corporation discloses 4 regulatory events, 25 customer disputes and a…

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  • Robert Rex, Esq.

Jerry Wells-Former Sagepoint Securities Broker-Discloses Customer Disputes & Regulatory Event-Rochester, NY
Jerry Wells-Former Sagepoint Securities Broker-Discloses Customer Disputes & Regulatory Event-Rochester, NY 150 150 Robert Rex, Esq.

April 2021- Rochester, NY According to publicly available records Jerry Michael Wells (CRD#1015358), a stockbroker previously registered with Sagepoint Financial,  discloses a regulatory event,  4 final customer disputes and a…

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  • Robert Rex, Esq.

Matthew Nekuza-Former Charles Schwab Broker -Permanently Barred From Securities Industry- Fort Worth, TX
Matthew Nekuza-Former Charles Schwab Broker -Permanently Barred From Securities Industry- Fort Worth, TX 150 150 Robert Rex, Esq.

February 2021 – Fort Worth, TX According to publicly available records  Matthew B. Nekuza (CRD#6332114), a  former stockbroker who last worked for Charles Schwab & Co. Inc.,  has been permanently barred…

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  • Robert Rex, Esq.

Triad Advisors to Pay $194,000 in Fines and Restitution for Allowing Churning of Accounts
Triad Advisors to Pay $194,000 in Fines and Restitution for Allowing Churning of Accounts 150 150 Robert Rex, Esq.

February 2020-Norcross, GA FINRA reports that Triad Advisors,LLC,  a national, independent broker-dealer and multi-custodial SEC-Registered Investment Advisor, headquartered in Atlanta, has been fined and ordered to pay restitution to customers…

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  • Robert Rex, Esq.

Stewart K. Williams, Sweetwater, TX, Man Pleads Guilty to $12.3 Million Wire Fraud
Stewart K. Williams, Sweetwater, TX, Man Pleads Guilty to $12.3 Million Wire Fraud 150 150 Robert Rex, Esq.

APRIL 2021-Sweetwater, Texas According to Prerak Shah, Acting U.S. Attorney for the Northern District of Texas, a former Sweetwater businessman – Stewart Kyle Williams, 31,  has pleaded guilty to a…

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  • Robert Rex, Esq.

John Krohn-Former Principal Securities Broker-Customers Seek Damages of Nearly $40 Million-Des Moines, IL
John Krohn-Former Principal Securities Broker-Customers Seek Damages of Nearly $40 Million-Des Moines, IL 150 150 Robert Rex, Esq.

April 2021- Des Moines, IL According to publicly available records John Krohn  (CRD#2722975), a former stockbroker who last worked for Principal Securities, Inc.  discloses a regulatory event , 3 pending…

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  • Robert Rex, Esq.

Christopher “Cubby” Bice -Sagepoint Financial Broker-Discloses 3 Pending Customer Disputes and a Termination- Phoenix, AZ
Christopher “Cubby” Bice -Sagepoint Financial Broker-Discloses 3 Pending Customer Disputes and a Termination- Phoenix, AZ 150 150 Robert Rex, Esq.

April 2021- Phoenix, AZ According to publicly available records Christopher  R. “Cubby” Bice (CRD#3222439), a stockbroker employed with Sagepoint Financial, Inc.  discloses three pending customer disputes and a termination from…

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  • Robert Rex, Esq.

Richard L. Pittman-Cetera Advisors Broker-Discloses Settlement of Customer Suits-Memphis, TN
Richard L. Pittman-Cetera Advisors Broker-Discloses Settlement of Customer Suits-Memphis, TN 150 150 Robert Rex, Esq.

January 2021- Memphis, TN The FINRA records of Richard Lynn Pittman, a stockbroker employed by  Cetera Advisors, disclose  4 prior customer disputes . The Financial Industry Regulatory Authority (FINRA) is the agency…

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  • Robert Rex, Esq.

Peter Holler-Former Securities Service Network Broker-Subject of Suits Over Woodbridge Fund Losses-Bristol, TN
Peter Holler-Former Securities Service Network Broker-Subject of Suits Over Woodbridge Fund Losses-Bristol, TN 150 150 Robert Rex, Esq.

December 2020– Bristol, TN The FINRA records of  Peter David Holler ,  a  stock broker who  was last employed by Securities Service Network ,  disclose  six final customer disputes involving the allegedly fraudulent Woodbridge…

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