• Robert Rex, Esq.

Gil Parks-Former Ameriprise Broker-Facing Numerous Customer Suits-Stephenville, TX
Gil Parks-Former Ameriprise Broker-Facing Numerous Customer Suits-Stephenville, TX 150 150 Robert Rex, Esq.

JULY 2018 UPDATE-Stephenville, TX  According to publicly available records Tom “Gil” Parks, Jr. , (CRD#1558909) ,  a  stockbroker who is not currently registered and who last was employed by Ameriprise Financial Services  discloses 6…

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  • Robert Rex, Esq.

Jeffrey R. Wilson-Wells Fargo Broker-Customer Wins Arbitration Over Energy Investments-Las Cruces, NM
Jeffrey R. Wilson-Wells Fargo Broker-Customer Wins Arbitration Over Energy Investments-Las Cruces, NM 150 150 Robert Rex, Esq.

January 2018-Las Cruces, NM The FINRA records of  Jeffrey Randolph Wilson  ,  a  stockbroker who is currently  registered with Wells Fargo Clearing Services disclose a currently pending customer dispute over energy investments , a…

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  • Robert Rex, Esq.

Scott V. Kaup-Former VSR Financial Broker-Discloses $2.6M+ Customer Suit, Stuart, NE
Scott V. Kaup-Former VSR Financial Broker-Discloses $2.6M+ Customer Suit, Stuart, NE 150 150 Robert Rex, Esq.

March 2019-Stuart, NE The FINRA records of  Scott V. Kaup ,  a  stockbroker who was formerly  employed by  VSR Financial Services  disclose 2 pending customer disputes  and a prior customer dispute that has…

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  • Robert Rex, Esq.

Daniel T. Fischer-Former Four Points Capital Partners Broker-Barred From Securities Industry-Melville, NY
Daniel T. Fischer-Former Four Points Capital Partners Broker-Barred From Securities Industry-Melville, NY 150 150 Robert Rex, Esq.

UPDATE FEBRUARY 2018-The SEC barred Daniel T. Fischer indefinitely from association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or NRSRO. ORIGINAL POST-January 2018-Melville, New…

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  • Robert Rex, Esq.

Zachary Berkey-Former Four Points Capital Broker-Fined by Regulator-Melville, NY
Zachary Berkey-Former Four Points Capital Broker-Fined by Regulator-Melville, NY 150 150 Robert Rex, Esq.

June 2019-Melville, New York / Texas Zachary S. Berkey , a currently unregistered stockbroker who last worked for Four Points Capital Partners, a Texas LLC, (Four Points) was named in a…

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  • Robert Rex, Esq.

Donna Boyd (Chen)-Former Sunbelt Securities Broker-Named In SEC Complaint-Houston, TX
Donna Boyd (Chen)-Former Sunbelt Securities Broker-Named In SEC Complaint-Houston, TX 150 150 Robert Rex, Esq.

January 2018-Houston, Texas Donna Boyd (formerly Donna Chen) , a former stockbroker who last worked for Sunbelt Securities was named in a complaint filed by the Securities and Exchange Commission in…

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  • Robert Rex, Esq.

James Tao-Former Sunbelt Securities Stockbroker-Named in SEC Complaint-Houston, TX
James Tao-Former Sunbelt Securities Stockbroker-Named in SEC Complaint-Houston, TX 150 150 Robert Rex, Esq.

January 2018-Houston, Texas James Tao, a former stockbroker who last worked for Sunbelt Securities was named in a complaint filed by the Securities and Exchange Commission in December 2017, which…

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  • Robert Rex, Esq.

Invest in Woodbridge Fund ? How to Recover Your Losses.
Invest in Woodbridge Fund ? How to Recover Your Losses. 150 150 Robert Rex, Esq.

December 2017-Boca Raton, FL According to a complaint filed in MIami, FL, by the Securities and Exchange Commission (SEC), Robert H. Shapiro and a group of unregistered investment companies called…

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  • Robert Rex, Esq.

David Krumrey-Former Oppenheimer Stockbroker-Subject of Customer Complaints-The Woodlands, TX
David Krumrey-Former Oppenheimer Stockbroker-Subject of Customer Complaints-The Woodlands, TX 150 150 Robert Rex, Esq.

January 2018-The Woodlands, Texas We are investigating former Oppenheimer & Co.  stockbroker David W. Krumrey who was recently discharged by Oppenheimer for attempting to settle a customer complaint without informing the firm.…

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  • Robert Rex, Esq.

Joeann Walker-Former LPL Financial Broker-Sanctioned Over Annuity Sales-Brockton, MA
Joeann Walker-Former LPL Financial Broker-Sanctioned Over Annuity Sales-Brockton, MA 150 150 Robert Rex, Esq.

December 2017-Brockton, MA According to FINRA  records Joeann M. Walker, (CRD# 2210194) ,  a   stockbroker who formerly worked for NEXT Financial Group and LPL FInancial  was barred from the securities industry for failing…

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