• Robert Rex, Esq.

Grizelle Perez-Former Sanders Morris Harris Broker-Permanently Barred by Regulators- Houston, TX
Grizelle Perez-Former Sanders Morris Harris Broker-Permanently Barred by Regulators- Houston, TX 150 150 Robert Rex, Esq.

November 2020- Houston, TX According to publicly available records, former  financial advisor Grizelle E. Perez, who last worked for USCA Securities,  has been barred from the securities industry by FINRA.…

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  • Robert Rex, Esq.

Christopher Shaw- Former Kalos Capital Broker-Discloses Pending Customer Disputes-Charlotte, NC
Christopher Shaw- Former Kalos Capital Broker-Discloses Pending Customer Disputes-Charlotte, NC 150 150 Robert Rex, Esq.

October 2020-Charlotte, NC According to publicly available records,  Christopher Shaw (CRD#5011382), a  stockbroker who was previously registered with  Pruco Securities & Kalos Capital,  discloses 3 pending customer disputes, a prior…

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  • Robert Rex, Esq.

Thomas Studer- Thrivent Investment Managment Broker-Permanently Barred from FINRA- The Villages, TX
Thomas Studer- Thrivent Investment Managment Broker-Permanently Barred from FINRA- The Villages, TX 150 150 Robert Rex, Esq.

June 2020- The Villages, TX According to publicly available records, former Thrivent Investment Management, Inc.,  financial advisor Thomas Struder,  has been barred from the securities industry by FINRA. The Financial…

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  • Robert Rex, Esq.

Mark Sitter-Former Capital FInancial Services Broker-Discloses $500K Pending Customer Dispute- Shenandoah, TX
Mark Sitter-Former Capital FInancial Services Broker-Discloses $500K Pending Customer Dispute- Shenandoah, TX 150 150 Robert Rex, Esq.

October 2020- Shenandoah, TX According to publicly available records,  Mark Sitter (CRD#1810591), a  stockbroker formerly employed by Capital Financial Services, discloses a pending customer dispute and 3 prior customer disputes.…

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  • Robert Rex, Esq.

Jesse Webb-Oppenheimer & Co. Broker-Discloses Regulatory Event, 3 Settled Customer Disputes and a Termination-The Woodlands, TX
Jesse Webb-Oppenheimer & Co. Broker-Discloses Regulatory Event, 3 Settled Customer Disputes and a Termination-The Woodlands, TX 150 150 Robert Rex, Esq.

October 2020-The Woodlands, TX According to publicly available records of Jesse Webb (CRD#2298761) ,  a  stockbroker with Oppenheimer & Co. lnc., discloses  a final regulatory event , 3 settled customer disputes…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Richard Deyoung formerly with Wells Fargo
Rex Securities Law Investment Fraud Attorney Investigates Richard Deyoung formerly with Wells Fargo 150 150 Robert Rex, Esq.

Last Updated: October 2023 (The Woodlands, Texas) Richard Deyoung Investigation Summary Here’s what you need to know about The Woodlands, TX, stockbroker Richard Deyoung: Name: Mr. Richard Clarence Deyoung, Jr.…

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  • Robert Rex, Esq.

Peter D Nett-Ameriprise Broker- Discloses Pending Customer Dispute-The Woodlands, TX
Peter D Nett-Ameriprise Broker- Discloses Pending Customer Dispute-The Woodlands, TX 150 150 Robert Rex, Esq.

October  2020- The Woodlands, TX According to publicly available records, Peter Dieter Nett (CRD#4506990), a stockbroker employed with Ameriprise Financial Services, Inc.,  disclose a recently filed customer dispute. The Financial…

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  • Robert Rex, Esq.

Stefan Pastor-Former Raymond James Broker-Barred From Securities Industry-Ft. Lauderdale, FL
Stefan Pastor-Former Raymond James Broker-Barred From Securities Industry-Ft. Lauderdale, FL 150 150 Robert Rex, Esq.

October 2020- Hollywood, FL According to publicly available records.  Stefan Anton Pastor, (CRD#5141819), a  former stockbroker who last worked for Raymond James Financial Services, Inc.,  discloses a regulatory event, 2…

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  • Robert Rex, Esq.

Thomas W. Molteni-Former J.Alden Assoc. Broker-Discloses Regulatory Event and Tax Liens-Jenkintown, PA
Thomas W. Molteni-Former J.Alden Assoc. Broker-Discloses Regulatory Event and Tax Liens-Jenkintown, PA 150 150 Robert Rex, Esq.

October 2020- Jenkintown, PA According to publicly available records of Thomas W. Molteni  (CRD#1022911) ,  a  former stockbroker who last worked for J. Alden Associates, Inc.,  discloses  a regulatory event and …

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  • Robert Rex, Esq.

Edward Earl Matthes-Former Mutual of Omaha Investment Services, Inc. Broker-Barred from Securities Industry for Alleged Theft-Oconomowoc, WI
Edward Earl Matthes-Former Mutual of Omaha Investment Services, Inc. Broker-Barred from Securities Industry for Alleged Theft-Oconomowoc, WI 150 150 Robert Rex, Esq.

October 2020- Oconomowoc, WI According to publicly available records, former Mutual of Omaha Investor Services, Inc.,   financial advisor Edward Earl Matthes ,  discloses 5 regulatory events, a civil event, 15 prior…

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