• Robert Rex, Esq.

John Carolyn-UBS Financial Broker-Subject of Numerous Customer Arbitrations Involving Oil & Gas Investments-Houston, TX
John Carolyn-UBS Financial Broker-Subject of Numerous Customer Arbitrations Involving Oil & Gas Investments-Houston, TX 150 150 Robert Rex, Esq.

May 2017-Houston, TX The FINRA records of John Carolyn,  a  stockbroker who is employed by  UBS Financial Services  disclose 5 pending customer disputes involving oil and gas securities  and one prior customer dispute. The Financial Industry…

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  • Robert Rex, Esq.

James D. Calder II-Former Raymond James Broker-Sanctioned Over Sale of Life Settlements-Borger, TX
James D. Calder II-Former Raymond James Broker-Sanctioned Over Sale of Life Settlements-Borger, TX 150 150 Robert Rex, Esq.

May 2017-Borger, TX The FINRA records of  James D. Calder II,  a  unregistered stockbroker who was last employed by  Raymond James Financial Services  disclose a final regulatory event and a customer dispute that has been settled.…

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  • Robert Rex, Esq.

Frederick P. Baerenz-Kalos Capital Broker-Ordered to Pay Customer $331K-Great Falls, VA
Frederick P. Baerenz-Kalos Capital Broker-Ordered to Pay Customer $331K-Great Falls, VA 150 150 Robert Rex, Esq.

May 2017-Great Falls, VA The FINRA records of  Frederick P. Baerenz,  a  stockbroker who is currently  registered with Kalos Capital  disclose that a FINRA arbitration panel awarded damages to a customer Baerenz recently. The Financial Industry…

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  • Robert Rex, Esq.

Curtis L. Whipple- Kalos Capital Broker-Discloses Customer Disputes-Plymouth, MI
Curtis L. Whipple- Kalos Capital Broker-Discloses Customer Disputes-Plymouth, MI 150 150 Robert Rex, Esq.

May 2017-Plymouth, MI The FINRA records of  Curtis L. Whipple,  a  stockbroker who is currently  registered with Kalos Capital  disclose a prior regulatory event, a pending customer dispute, 3 prior customer disputes and a termination from…

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  • Robert Rex, Esq.

Douglas E. Duncan-Former National Securities Corp. Broker- Discloses Customer Dispute-Westbury, NY
Douglas E. Duncan-Former National Securities Corp. Broker- Discloses Customer Dispute-Westbury, NY 150 150 Robert Rex, Esq.

May 2017-Westbury, New York The FINRA records of  Douglas E. Duncan ,  a  stockbroker who is currently  registered with PHX Financial  and Scottrade, Inc.  disclose a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…

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  • Robert Rex, Esq.

Craig S. Forster-Former Oppenheimer Broker-Discloses Customer Disputes-Hawthorne, NY
Craig S. Forster-Former Oppenheimer Broker-Discloses Customer Disputes-Hawthorne, NY 150 150 Robert Rex, Esq.

May 2017-Hawthorne, NY The FINRA records of  Craig S. Forster  ,  a  stockbroker who is currently  registered with Woodstock Financial Group  disclose 9 prior customer disputes . The Financial Industry Regulatory Authority (FINRA) is the agency…

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  • Robert Rex, Esq.

Alan M. Cobb – Former Investors Capital Corp. Broker- Discloses Customer Dispute-Providence, RI
Alan M. Cobb – Former Investors Capital Corp. Broker- Discloses Customer Dispute-Providence, RI 150 150 Robert Rex, Esq.

May 2017-Providence, RI According to publicly available records Alan M. Cobb, (CRD#49158) ,  a  stockbroker who  was previously registered with Investors Capital Corp., discloses a prior final customer dispute. The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Kovack Securities to Acquire TKG Financial
Kovack Securities to Acquire TKG Financial 150 150 Robert Rex, Esq.

May 2017 Ft. Lauderdale-based Kovack Securities announced that they intend to acquire the assets of TKG Financial, Inc. Kovack Securities has about 400 advisors nationwide. TKG Financial,  based in Santa…

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  • Robert Rex, Esq.

Jeffrey R. Wilson-Wells Fargo Broker-Loses Arbitration to Customer Over Energy and Real Estate Investments-Las Cruces, NM
Jeffrey R. Wilson-Wells Fargo Broker-Loses Arbitration to Customer Over Energy and Real Estate Investments-Las Cruces, NM 150 150 Robert Rex, Esq.

May 2017-Las Cruces, NM The FINRA records of  Jeffrey R. Wilson  ,  a  stockbroker who is currently  registered with Wells Fargo Clearing Services disclose a recent arbitration award to a customer and 2 other prior…

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  • Robert Rex, Esq.

Patrick D. Combs-Former Morgan Stanley Broker-Discloses Customer Dispute and Suspension by FINRA-Southlake, TX
Patrick D. Combs-Former Morgan Stanley Broker-Discloses Customer Dispute and Suspension by FINRA-Southlake, TX 150 150 Robert Rex, Esq.

May 2017-Southlake, TX The FINRA records of  Patrick D. Combs  ,  a  stockbroker who is currently suspended by FINRA and who was last registered with IMS Securities disclose a pending customer dispute, a final regulatory event…

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