• Robert Rex, Esq.

John Spach-Former Kestra Investment Services Broker-Discloses $450K Settlement & Termination from Employment-Calabasas, CA
John Spach-Former Kestra Investment Services Broker-Discloses $450K Settlement & Termination from Employment-Calabasas, CA 150 150 Robert Rex, Esq.

February 2019 – Calabasas, CA According to publicly available records John William Spach  (CRD#2731192) ,  a  previously registered stockbroker who was last employed by Kestra Investment Services, LLC disclose  a recent regulatory sanction, a…

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  • Robert Rex, Esq.

Bruce Worthington-Former Founders Financial Securities Broker-Discloses Regulatory Event, Pending Investigation, Termination & Customer Complaint-Middleton, MA
Bruce Worthington-Former Founders Financial Securities Broker-Discloses Regulatory Event, Pending Investigation, Termination & Customer Complaint-Middleton, MA 150 150 Robert Rex, Esq.

February 2019-Middleton, MA According to publicly available records Bruce C. Worthington (CRD# 2193895) ,  a  stockbroker previously employed by Founders Financial Securities, discloses a pending regulatory event, a prior regulatory event, a  pending…

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  • Robert Rex, Esq.

Marc Allen Miller II- Raymond James Broker-Discloses Pending Customer Dispute-Port Charlotte, FL
Marc Allen Miller II- Raymond James Broker-Discloses Pending Customer Dispute-Port Charlotte, FL 150 150 Robert Rex, Esq.

February 2019- Port Charlotte, FL According to publicly available records Marc Allen Miller II (CRD#4521825) ,  a  stockbroker registered with Raymond James & Associates,  disclose a  pending customer dispute. The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Justin Mitchell- Capital Financial Services Broker-Discloses Investigation & Termination-Baton Rouge, LA
Justin Mitchell- Capital Financial Services Broker-Discloses Investigation & Termination-Baton Rouge, LA 150 150 Robert Rex, Esq.

February 2019 – Baton Rouge, LA According to publicly available records  Justin Brian Mitchell (CRD# 5177794) ,  a   stockbroker currently employed by Capital Financial Services who was previously employed by LPL Financial,…

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  • Robert Rex, Esq.

Cheryl Stallings-Former LPL Financial Broker-Discloses Regulatory Action and Termination From Employment, Amarillo, TX
Cheryl Stallings-Former LPL Financial Broker-Discloses Regulatory Action and Termination From Employment, Amarillo, TX 150 150 Robert Rex, Esq.

February  2019 – Amarillo, Texas According to public records of Cheryl Ann Stallings (formerly Cheryl Ann Bledsoe) (CRD#1162913)  a  former stockbroker with LPL Financial, discloses a regulatory event and a termination from…

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  • Robert Rex, Esq.

Bradley Pace- Former LPL Financial Broker- Discloses Regulatory Event and Customer Dispute-Orlando, FL
Bradley Pace- Former LPL Financial Broker- Discloses Regulatory Event and Customer Dispute-Orlando, FL 150 150 Robert Rex, Esq.

February 2019- Orlando, FL According to publicly available records Bradley T. Pace  (CRD#2097427) ,  a  stockbroker previously  registered with LPL Financial,  disclose a regulatory event and 2 prior customer disputes. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Brandon Long-Former BCG Securities Broker-Discloses Customer Suits & Regulatory Actions-Roswell, GA
Brandon Long-Former BCG Securities Broker-Discloses Customer Suits & Regulatory Actions-Roswell, GA 150 150 Robert Rex, Esq.

February  2019 – Roswell, GA According to public records of Brandon P. Long (CRD#5975459)  a  stockbroker previously employed by BCG Securities,  Inc., discloses a regulatory event, a civil event, 3 customer…

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  • Robert Rex, Esq.

Mark Tauzin-Former LPL Financial Broker-Discloses Regulatory Event, Customer Dispute & Termination-Lafayette, LA
Mark Tauzin-Former LPL Financial Broker-Discloses Regulatory Event, Customer Dispute & Termination-Lafayette, LA 150 150 Robert Rex, Esq.

February 2019- Lafayette, LA According to publicly available records Mark Tauzin   (CRD#1716373) ,  a  currently unregistered stockbroker who was last  registered with LPL Financial,  disclose a regulatory event , a prior customer dispute…

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  • Robert Rex, Esq.

Kestra Investment Services Assessed Regulatory Fine Over Mutual Fund Sales-Austin, TX
Kestra Investment Services Assessed Regulatory Fine Over Mutual Fund Sales-Austin, TX 150 150 Robert Rex, Esq.

February 2019 – Austin, Texas FINRA recently sanctioned Austin-based Kestra Investment Services (formerly NFP Advisor Services) for over charging more than 3,000 who qualified for waiver of front end sales…

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  • Robert Rex, Esq.

Jay Weiser-Former Despain Financial Broker-Barred From Securities Industry-Collinsville, IL
Jay Weiser-Former Despain Financial Broker-Barred From Securities Industry-Collinsville, IL 150 150 Robert Rex, Esq.

February  2019 – Collinsville, IL According to public records, Jay R. Weiser  (CRD#1511042)  a  former stockbroker who was previously employed by Despain Financial Corporation,  discloses a regulatory event, a pending customer dispute and…

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