• Robert Rex, Esq.

Matthew T. Griffith-Former Kestra Investment Services Broker-Discloses Settlement of Customer Dispute-San Diego, CA
Matthew T. Griffith-Former Kestra Investment Services Broker-Discloses Settlement of Customer Dispute-San Diego, CA 150 150 Robert Rex, Esq.

UPDATED April 2018 FINRA records disclose that Matthew T. Griffith is no longer registered with Kestra Investment Services as of 4/2018. In addition FINRA records disclose that FINRA customer arbitration …

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  • Robert Rex, Esq.

Source Capital Group Discloses Customer Disputes and Regulatory Sanctions
Source Capital Group Discloses Customer Disputes and Regulatory Sanctions 150 150 Robert Rex, Esq.

March 2017- Westport, CT According to publicly available records Source Capital Group, (CRD# 36719) ,  a  broker dealer with headquarters in Westport, CT, discloses 8 prior final regulatory events, one regulatory event that…

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  • Robert Rex, Esq.

Hilltop Securities Fined by Regulators for Failing to Advise Customers-Dallas, TX
Hilltop Securities Fined by Regulators for Failing to Advise Customers-Dallas, TX 150 150 Robert Rex, Esq.

March 2020-Dallas, Texas The FINRA records of  Hilltop Securities,  a  stock brokerage firm headquartered in Dallas, Texas, disclose 52 prior regulator events that are final and 20 prior customer arbitrations. Investigations of…

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  • Robert Rex, Esq.

Steven Michael Knowlton-IMS Securities Broker-Discloses Five Pending Customer Disputes
Steven Michael Knowlton-IMS Securities Broker-Discloses Five Pending Customer Disputes 150 150 Robert Rex, Esq.

April 2017 – Houston, TX According to publicly available records Steven Michael Knowlton , (CRD# 4527446),  a  stockbroker who is currently registered with IMS Securities  discloses a prior regulatory event, four prior final customer disputes…

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  • Robert Rex, Esq.

Robert J. Hudson-Former VSR Financial Broker-Discloses Customer Dispute Over Annuities-Essex Junction, VT
Robert J. Hudson-Former VSR Financial Broker-Discloses Customer Dispute Over Annuities-Essex Junction, VT 150 150 Robert Rex, Esq.

April 2017-Essex Junction, VT The FINRA records of  Robert James Hudson, Jr. ,  a  stockbroker who was formerly  employed by  VSR Financial Services  disclose a pending customer dispute, a prior customer dispute that…

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  • Robert Rex, Esq.

Christopher D. Gammon-IMS Securities Broker-Discloses Customer Arbitrations Over REIT Investments-Houston, TX
Christopher D. Gammon-IMS Securities Broker-Discloses Customer Arbitrations Over REIT Investments-Houston, TX 150 150 Robert Rex, Esq.

April 2017-Houston, Texas According to publicly available records Christopher D. Gammon , (CRD# 2344523) ,  a  stockbroker who is currently registered with IMS Securities  discloses two pending and two prior final customer disputes.  The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Jackie D. Wadsworth-IMS Securities Broker-Discloses Customer Disputes Over REIT Investments-Houston, TX
Jackie D. Wadsworth-IMS Securities Broker-Discloses Customer Disputes Over REIT Investments-Houston, TX 150 150 Robert Rex, Esq.

April 2017-Houston, Texas According to publicly available records Jackie D. Wadsworth , (CRD# 2342163) ,  a  stockbroker who is currently registered with IMS Securities  discloses three pending and four prior final customer disputes.  The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Joshua W. Patterson-IMS Securities Broker-Discloses Customer Dispute Over REIT Investment-Houston, TX
Joshua W. Patterson-IMS Securities Broker-Discloses Customer Dispute Over REIT Investment-Houston, TX 150 150 Robert Rex, Esq.

April 2017-Houston, Texas According to publicly available records Joshua W. Patterson , (CRD# 3077302) ,  a  stockbroker who is currently registered with IMS Securities  discloses two pending and one prior final customer disputes.  The Financial Industry…

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  • Robert Rex, Esq.

James Roy Kennedy-Former VSR Financial Services Broker-Investigation Update-Eastland, TX
James Roy Kennedy-Former VSR Financial Services Broker-Investigation Update-Eastland, TX 150 150 Robert Rex, Esq.

April 2017-Eastland, Texas We are continuing our investigation of former VSR Financial Services broker James Roy Kennedy in connection with the sale of unsuitable investments, including alternative investments in real estate investment trusts (REITs), limited…

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  • Robert Rex, Esq.

Kestra Investment Services Discloses Regulatory Fines/ Arbitration Awards-Austin, Texas
Kestra Investment Services Discloses Regulatory Fines/ Arbitration Awards-Austin, Texas 150 150 Robert Rex, Esq.

April 2017-Austin, Texas According to publicly available records Kestra Investment Services (formerly NFP ) , (CRD# 42046) ,  a  FINRA registered broker dealer headquartered in Austin, Texas,  discloses  10 prior final regulatory events and…

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