• Robert Rex, Esq.

Hemant Kathuria-Euro Pacific Stockbroker-Subject of $791K Customer Dispute Over Private Placement Investments-El Segundo, CA
Hemant Kathuria-Euro Pacific Stockbroker-Subject of $791K Customer Dispute Over Private Placement Investments-El Segundo, CA 150 150 Robert Rex, Esq.

March 2018- El Segundo, CA The FINRA records of  Hemant Kathuria ,  a  stockbroker who is currently employed by  Euro Pacific Capital disclose 1 pending customer dispute and 3 prior final customer disputes. The Financial Industry…

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  • Robert Rex, Esq.

Michael J Blake-Former Ameritas Investment Corp. Broker-Disclose Numerous Customer Disputes Over Promissory Note Sales-Paradise Valley, AZ
Michael J Blake-Former Ameritas Investment Corp. Broker-Disclose Numerous Customer Disputes Over Promissory Note Sales-Paradise Valley, AZ 150 150 Robert Rex, Esq.

March 2018-Paradise Valley, AZ The FINRA records of  Michael J. Blake ,  a  stockbroker who is currently unregistered and who last was employed by  Mid Atlantic Capital Corp. disclose 2 prior regulatory…

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  • Robert Rex, Esq.

Walter W. Parker-Titan Securities Broker-Discloses Settlements of Customer Suits and a Regulatory Investigation-Rowlett, Texas
Walter W. Parker-Titan Securities Broker-Discloses Settlements of Customer Suits and a Regulatory Investigation-Rowlett, Texas 150 150 Robert Rex, Esq.

SEE THIS FOR JANUARY 2020 UPDATE APRIL 2018 UPDATE–Walt Parker suspended in connection with sale of alternative investments, assessed $7,500 fine by FINRA. Read more here.  March 2018-Rowlett, Texas The…

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  • Robert Rex, Esq.

Ronald D. Clark-Summit Brokerage Services Broker-Discloses Pending Customer Disputes Involving REIT/Oil & Gas -Tampa, FL
Ronald D. Clark-Summit Brokerage Services Broker-Discloses Pending Customer Disputes Involving REIT/Oil & Gas -Tampa, FL 150 150 Robert Rex, Esq.

March 2018 – Tampa, FL According to publicly available records , Ronald D. Clark , (CRD# 1086724) ,  a  stockbroker who is employed by Summit Brokerage Services,  disclose  2 prior regulatory events, 2 pending customer…

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  • Robert Rex, Esq.

Melvin S. Jacobs-Former Merrill Lynch Broker-Discloses Termination for Selling Unauthorized Investments-Houston, TX
Melvin S. Jacobs-Former Merrill Lynch Broker-Discloses Termination for Selling Unauthorized Investments-Houston, TX 150 150 Robert Rex, Esq.

March 2018 – Houston, TX According to publicly available records , Melvin (“Mel”) S. Jacobs , (CRD# 1361940) ,  a  stockbroker who was previously employed by Merrill Lynch, Pierce, Fenner & Smith,  disclose  that he…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates McNally Financial Services Corp. Broker David McNally
Rex Securities Law Investment Fraud Attorney Investigates McNally Financial Services Corp. Broker David McNally 150 150 Robert Rex, Esq.

Last Updated: January 2024 (San Antonio, Texas) David McNally Investigation Summary Here’s what you need to know about San Antonio, TX, stockbroker David McNally: Name: Mr. David Dorn McNally Current…

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  • Robert Rex, Esq.

Steven Yellen-Former Ameriprise Broker-Suspended by Securities Regulator-El Paso, Texas
Steven Yellen-Former Ameriprise Broker-Suspended by Securities Regulator-El Paso, Texas 150 150 Robert Rex, Esq.

November 2019 – El Paso, Texas According to publicly available records Steven T. Yellen , (CRD# 1281663) ,  a  stockbroker who is currently suspended and who was last employed by Ameriprise Financial…

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  • Robert Rex, Esq.

Walt Parker-Former Titan Securities Broker-Subject of Numerous UDF Suits & Regulatory Suspension – Rowlett , Texas
Walt Parker-Former Titan Securities Broker-Subject of Numerous UDF Suits & Regulatory Suspension – Rowlett , Texas 150 150 Robert Rex, Esq.

January 2020-Rowlett, Texas The FINRA records of  Walter (Walt) Parker ,  a  currently unregistered  broker who was last employed by  Titan Securities  disclose a recent regulatory matter,  2 pending customer disputes  and 11 prior…

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  • Robert Rex, Esq.

Kimberly Kitts-Former Royal Alliance Broker-Subject of Customer Dispute Alleging Misappropriation of Funds-Palmer, MA
Kimberly Kitts-Former Royal Alliance Broker-Subject of Customer Dispute Alleging Misappropriation of Funds-Palmer, MA 150 150 Robert Rex, Esq.

February 2018-Palmer, Massachusetts Kimberly Pine Kitts  was recently discharged from Royal Alliance Associates where she had been employed since 4/2004 after receiving notice from a customer’s attorney alleging conversion or misappropriation…

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  • Robert Rex, Esq.

Christopher L. Hibbard-Former Merrill Lynch Broker-Accused of Theft by 8 Customers-Louisville, KY
Christopher L. Hibbard-Former Merrill Lynch Broker-Accused of Theft by 8 Customers-Louisville, KY 150 150 Robert Rex, Esq.

August 2018-Louisville, KY Christopher Lee Hibbard  was recently discharged from Merrill Lynch where he had been employed since 7/2010.  In April 2018 the US Attorney’s office for the Western District…

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