• Robert Rex, Esq.

Todd F. Sherman-Former Fusion Analytics Securities Broker-Discloses Customer Dispute-Coral Springs, FL
Todd F. Sherman-Former Fusion Analytics Securities Broker-Discloses Customer Dispute-Coral Springs, FL 150 150 Robert Rex, Esq.

June 2021-Coral Springs, FL The FINRA records of  Todd F. Sherman ,  a  stockbroker who was last registered with Fusion Analytics Securities disclose a regulatory matter resulting in suspension. The Financial Industry…

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  • Robert Rex, Esq.

John Kolody Jr.-Former Foothill Securities Broker-Discloses Customer Dispute-Flagstaff, AZ
John Kolody Jr.-Former Foothill Securities Broker-Discloses Customer Dispute-Flagstaff, AZ 150 150 Robert Rex, Esq.

May 2017- Flagstaff, AZ The FINRA records  of John Kolody, Jr. ,  a  stockbroker who is currently employed by  Securities America   disclose a pending  customer dispute . The Financial Industry Regulatory Authority (FINRA) is the agency that…

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  • Robert Rex, Esq.

Texas Securities Regulator Issues Order RE: Stock Promoters Impersonating Registered Firm
Texas Securities Regulator Issues Order RE: Stock Promoters Impersonating Registered Firm 150 150 Robert Rex, Esq.

MAY 2017-Dallas, Texas The Texas State Securities Board (TSSB) entered an Emergency Cease and Desist May 5th alleging that Raymond Hill and Mark Diaz who are soliciting funds for stock…

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  • Robert Rex, Esq.

Kyle J. Gardner-Former MML Investor Services Broker-Discloses Customer Dispute Over REITs-Plano, TX
Kyle J. Gardner-Former MML Investor Services Broker-Discloses Customer Dispute Over REITs-Plano, TX 150 150 Robert Rex, Esq.

May 2017- Plano, Texas The FINRA records  of Kyle J. Gardner,  a  stockbroker who is currently employed by  SCF Securities   disclose a pending  customer dispute for losses on investments in real estate investment trusts (REITs). The…

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  • Robert Rex, Esq.

David Elliott Rosen-Austin Concert Promoter-Sentenced on Securities Fraud
David Elliott Rosen-Austin Concert Promoter-Sentenced on Securities Fraud 150 150 Robert Rex, Esq.

May 2017-Austin, Texas Former concert promoter David Elliott Rosen pleaded guilty to securities fraud in Travis County State District Court and was sentenced to 10 years and ordered to pay…

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  • Robert Rex, Esq.

Steven H. Murphy – Former VSR Financial Services Broker- Discloses Customer Disputes- Simi Valley, CA
Steven H. Murphy – Former VSR Financial Services Broker- Discloses Customer Disputes- Simi Valley, CA 150 150 Robert Rex, Esq.

April 2017- Simi Valley, CA The FINRA records  of Steven H. Murphy,  a  stockbroker who is currently employed by  Summit Brokerage Services  and was previously employed by VSR Financial Services, disclose a pending  customer dispute and…

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  • Robert Rex, Esq.

Christopher R. Hickman-Former Cetera Advisors Broker-Discloses Settlement of Customer Disputes-Delray Beach, FL
Christopher R. Hickman-Former Cetera Advisors Broker-Discloses Settlement of Customer Disputes-Delray Beach, FL 150 150 Robert Rex, Esq.

June 2017-Delray Beach, FL The FINRA records of  Christopher R. Hickman ,  a  former stockbroker who was last employed as a broker by Cetera Advisors and who is not currently registered, disclose…

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  • Robert Rex, Esq.

William D. Byrd-Former Transamerica Broker-Discloses Customer Disputes-Tampa, FL
William D. Byrd-Former Transamerica Broker-Discloses Customer Disputes-Tampa, FL 150 150 Robert Rex, Esq.

May 2017-Tampa, FL The FINRA records of  William D. Byrd ,  a  stockbroker who is currently registered with Capital Financial Services disclose a pending customer dispute and 3 prior final customer disputes. The Financial Industry…

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  • Robert Rex, Esq.

Steven E. Blanke-Capital Financial Services Broker-Discloses Customer Disputes-Garland, TX
Steven E. Blanke-Capital Financial Services Broker-Discloses Customer Disputes-Garland, TX 150 150 Robert Rex, Esq.

May 2017-Garland, TX The FINRA records of  Steven Earle Blanke ,  a  stockbroker who is currently registered with Capital Financial Services disclose a pending customer dispute, a prior final customer dispute and a prior financial event.…

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  • Robert Rex, Esq.

Marie P. Goforth-Former LPL Financial Broker-Discloses Sanction by Texas Regulator-San Antonio, TX
Marie P. Goforth-Former LPL Financial Broker-Discloses Sanction by Texas Regulator-San Antonio, TX 150 150 Robert Rex, Esq.

May 2017-San Antonio, TX The FINRA records of  Marie P. Goforth  ,  a  stockbroker who is currently  employed  by Capital Financial Service   disclose  2 prior customer disputes and a termination from employment. The…

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