• Robert Rex, Esq.

Baris Dincer-Former J.H. Darbie Broker-Discloses Terminations-New York
Baris Dincer-Former J.H. Darbie Broker-Discloses Terminations-New York 150 150 Robert Rex, Esq.

June 2020- New York According to publicly available records Baris Dincer  (CRD#5637472) ,  a  stockbroker who currently is not currently registered and who was previously employed by Planner Securities, J.H. Darbie &…

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  • Robert Rex, Esq.

Joao-Miguel Calil-Former Merrill Lynch Broker-Discloses Termination from Employment-NY
Joao-Miguel Calil-Former Merrill Lynch Broker-Discloses Termination from Employment-NY 150 150 Robert Rex, Esq.

June 2017- New York According to publicly available records Joao-Miguel Calil  (CRD#4351530) ,  a  stockbroker who is not currently employed,   discloses  a termination from employment with Merrill Lynch. The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Robert M. Dechick-D.H. Hill Securities Broker-Discloses Regulatory Sanction-Clermont, FL
Robert M. Dechick-D.H. Hill Securities Broker-Discloses Regulatory Sanction-Clermont, FL 150 150 Robert Rex, Esq.

June 2017- Clermont, Florida According to publicly available records Robert M. Dechick  (CRD#4152582) ,  a  stockbroker who currently is employed by  D.H. Hill Securities,   discloses  a recent regulatory event. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Brian A. Hagen-D.H.Hill Securities Broker-Discloses Employment Separation-Montgomery, TX
Brian A. Hagen-D.H.Hill Securities Broker-Discloses Employment Separation-Montgomery, TX 150 150 Robert Rex, Esq.

June 2017- Montgomery , Texas According to publicly available records Brian Alan Hagen  (CRD#5189815) ,  a  stockbroker who currently is employed by  D.H. Hill Securities,   discloses  a termination from employment. The Financial Industry…

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  • Robert Rex, Esq.

Charles R. Elhoff-LPL Financial Broker-Discloses Pending Customer Dispute-Arlington, TX
Charles R. Elhoff-LPL Financial Broker-Discloses Pending Customer Dispute-Arlington, TX 150 150 Robert Rex, Esq.

June 2017- Arlington, Texas According to publicly available records Charles R. Elhoff, Jr.  (CRD#76936) ,  a  stockbroker who currently is employed by  LPL Financial,   discloses  a currently pending customer dispute and a prior…

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  • Robert Rex, Esq.

John S. Simpson – Former RBC Capital Markets Broker-Discloses $11M Customer Suit- Hunt Valley, MD
John S. Simpson – Former RBC Capital Markets Broker-Discloses $11M Customer Suit- Hunt Valley, MD 150 150 Robert Rex, Esq.

June 2017- Hunt Valley, MD According to publicly available records John Scott Simpson  (CRD#719367) ,  a  former stockbroker who was last employed by  RBC Capital Markets,   discloses one regulatory event, a currently pending…

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  • Robert Rex, Esq.

Thurman P. Bryant, III, & Arthur F. Wammel- Found Guilty of Wire Fraud – Frisco, TX
Thurman P. Bryant, III, & Arthur F. Wammel- Found Guilty of Wire Fraud – Frisco, TX 150 150 Robert Rex, Esq.

MAY 2019 UPDATE According to a press release issued by the Department of Justice, Thurman Bryant III, 46, of Frisco and Arthur Franz Wammel, 46, of Houston, were found guilty…

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  • Robert Rex, Esq.

First Dallas Securities Sanctioned by Regulators for Overcharging Commissions-Dallas, TX
First Dallas Securities Sanctioned by Regulators for Overcharging Commissions-Dallas, TX 150 150 Robert Rex, Esq.

March 2017- Dallas, TX According to publicly available records First Dallas Securities Inc.  (CRD# 24549) ,  a  brokerage firm with about 24 brokers headquartered in Dallas, Texas, discloses a recent regulatory sanction.…

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  • Robert Rex, Esq.

Lawrence A. DeShetler-Pleads Guilty to Mail Fraud-Beaumont, TX
Lawrence A. DeShetler-Pleads Guilty to Mail Fraud-Beaumont, TX 150 150 Robert Rex, Esq.

June 2017-Beaumont, Texas Lawrence A. DeShetler, a certified financial planner from the the Woodlands, Texas, pleaded guilty mail fraud according to a release from the Department of Justice for the…

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  • Robert Rex, Esq.

WFG Investments Ignored Red Flags in San Antonio, TX , Branch
WFG Investments Ignored Red Flags in San Antonio, TX , Branch 150 150 Robert Rex, Esq.

May 2017- San Antonio, TX According to publicly available records Dallas, TX-based WFG Investments Inc. discloses 23 final regulatory events.  The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates…

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