• Robert Rex, Esq.

J. Gordon Cloutier, Jr.-Former Wells Fargo Broker-Barred From Securities Industry-Frisco, TX
J. Gordon Cloutier, Jr.-Former Wells Fargo Broker-Barred From Securities Industry-Frisco, TX 150 150 Robert Rex, Esq.

October 2018-Frisco, Texas According to publicly available records J. Gordon Cloutier, Jr.   ,  a  former stockbroker who was last registered with Wells Fargo Advisors disclose two regulatory events, a prior customer dispute and…

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  • Robert Rex, Esq.

How to Recover Losses on Behavioral Recognition Systems (BRS Labs) now known as Giant Gray-Houston, TX
How to Recover Losses on Behavioral Recognition Systems (BRS Labs) now known as Giant Gray-Houston, TX 150 150 Robert Rex, Esq.

October 2018- The SEC has charged Houston based Behavioral Recognition Systems (now known as Giant Gray) and its CEO Ray C. Davis with soliciting over $28 million from investors and…

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  • Robert Rex, Esq.

Tamara Steele- Former Comprehensive Asset Management and Servicing Broker-Named in SEC Suit Over Behavioral Recognition Systems-Pendleton, Indiana
Tamara Steele- Former Comprehensive Asset Management and Servicing Broker-Named in SEC Suit Over Behavioral Recognition Systems-Pendleton, Indiana 150 150 Robert Rex, Esq.

October 2018- Pendleton, Indiana According to publicly available records Tamara R. Steele   (CRD#3227494) ,  a  stockbroker who was last registered with Comprehensive Asset Management and Servicing (CAMAS)  a/k/a Aurora Private Wealth or…

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  • Robert Rex, Esq.

Charles Bloom- Former Chelsea Financial Services Broker-Barred From Securities Industry- Royal Palm Beach, FL
Charles Bloom- Former Chelsea Financial Services Broker-Barred From Securities Industry- Royal Palm Beach, FL 150 150 Robert Rex, Esq.

October 2018- Royal Palm Beach, FL Publicly available records disclose that Charles Lewis Bloom,  a former stockbroker who was previously employed by Chelsea Financial Services, discloses 3  regulatory events and a currently…

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  • Robert Rex, Esq.

Gary Lee Miller-Former LPL Financial Broker-Discloses Customer Dispute Involving Annuities- Eau Claire, WI
Gary Lee Miller-Former LPL Financial Broker-Discloses Customer Dispute Involving Annuities- Eau Claire, WI 150 150 Robert Rex, Esq.

October 2018 – Eau Claire, WI According to publicly available records Gary Lee Miller   (CRD#2669776) ,  a  former stockbroker who was last employed by LPL Financial ,  disclose a settled customer dispute. The Financial Industry…

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  • Robert Rex, Esq.

Holly Maurer- Corecap Investments Broker-Discloses Settlement of Several Customer Disputes-Southfield, MI
Holly Maurer- Corecap Investments Broker-Discloses Settlement of Several Customer Disputes-Southfield, MI 150 150 Robert Rex, Esq.

October 2017 – Southfield, MI According to publicly available records Holly M. Maurer  (CRD#2764991) , a  stockbroker who is registered with Corecap Investments , disclose 5 prior  customer disputes. The Financial Industry Regulatory Authority (FINRA) is…

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  • Robert Rex, Esq.

Robert Abramowitz- National Securities Corp. Broker- Discloses Customer Disputes- Melville, NY
Robert Abramowitz- National Securities Corp. Broker- Discloses Customer Disputes- Melville, NY 150 150 Robert Rex, Esq.

October 2018- Melville, NY According to publicly available records  Robert Abramowitz (CRD#4457589), a stockbroker who is registered with National Securities Corp.  disclose a prior customer dispute and 2 pending customer disputes..…

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  • Robert Rex, Esq.

Dallas Area Couple Indicted for Embezzling $14.5 Million From Retirement Accounts
Dallas Area Couple Indicted for Embezzling $14.5 Million From Retirement Accounts 150 150 Robert Rex, Esq.

October 2018-Red Oak, Texas Jeffrey Richie, 53, and his wife Wendy Richie, 58, of Red Oak, TX, (a suburb south of Dallas) were indicted for conspiracy, theft from an employee…

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  • Robert Rex, Esq.

Craig Wakefield-Merrill Lynch Broker-Discloses $100K Customer Dispute- Houston, TX
Craig Wakefield-Merrill Lynch Broker-Discloses $100K Customer Dispute- Houston, TX 150 150 Robert Rex, Esq.

October 2018- Houston, TX According to FINRA records, Craig D. Wakefield,  a stockbroker who is currently registered with Merrill Lynch, Pierce, Fenner & Smith (Merrill Lynch) discloses a currently pending…

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  • Robert Rex, Esq.

Michael Ralby-Former Morgan Stanley Smith Barney Broker- Barred From Securities Industry- Boca Raton – FL
Michael Ralby-Former Morgan Stanley Smith Barney Broker- Barred From Securities Industry- Boca Raton – FL 150 150 Robert Rex, Esq.

February 2020- Boca Raton, FL According to publicly available records  Michael B. Ralby (CRD#1301072), a stockbroker who formerly was registered with Morgan Stanley Smith Barney, disclose a regulatory event, 3…

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