• Robert Rex, Esq.

Thomas Carreras-Ameritas Investment Broker-Discloses Customer Dispute- West Palm Beach, FL
Thomas Carreras-Ameritas Investment Broker-Discloses Customer Dispute- West Palm Beach, FL 150 150 Robert Rex, Esq.

January 2017-West Palm Beach, FL According to publicly available records Thomas B. Carreras (CRD# 1815164) ,  a  stockbroker currently employed by Ameritas Investment Corp. ,  discloses a  pending customer dispute. The Financial Industry…

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  • Robert Rex, Esq.

John S. Bixby-Former Ameritas Investment Broker-Discloses Discharge and Customer Disputes
John S. Bixby-Former Ameritas Investment Broker-Discloses Discharge and Customer Disputes 150 150 Robert Rex, Esq.

January 2017-Lincoln, NE According to publicly available records   John S. Bixby,  a  stockbroker currently employed by Drexel Hamilton,  discloses a  separation from employment after allegations and two finalized customer disputes. The Financial…

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  • Robert Rex, Esq.

Renee R. Fields-Former Ameriprise Broker- Discloses Separation From Employment-Dallas, TX
Renee R. Fields-Former Ameriprise Broker- Discloses Separation From Employment-Dallas, TX 150 150 Robert Rex, Esq.

January 2017-Dallas, Texas The FINRA records of  Renee Rochelle Fields,  a  stockbroker currently employed by Sagepoint Financial disclose a  separation from employment after allegations. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses…

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  • Robert Rex, Esq.

Steven W. Shirley-IMS Securities Stockbroker-Discloses Pending Customer Dispute-Friendswood, TX
Steven W. Shirley-IMS Securities Stockbroker-Discloses Pending Customer Dispute-Friendswood, TX 150 150 Robert Rex, Esq.

January 2017-Friendswood, Texas The FINRA records of  Steven W. Shirley,  a  stockbroker with IMS Securities disclose a  a currently pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates…

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  • Robert Rex, Esq.

Stacey L. Rognon-IMS Securities Stockbroker-Discloses Customer Dispute-Houston, TX
Stacey L. Rognon-IMS Securities Stockbroker-Discloses Customer Dispute-Houston, TX 150 150 Robert Rex, Esq.

January 2017-Houston, Texas The FINRA records of  Stacey Lee Rognon,  a  stockbroker with IMS Securities disclose a  a currently pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates…

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  • Robert Rex, Esq.

Jesus D. Rodriguez-IMS Securities Stockbroker-Discloses Customer Disputes
Jesus D. Rodriguez-IMS Securities Stockbroker-Discloses Customer Disputes 150 150 Robert Rex, Esq.

January 2017-Miami, Florida The FINRA records of  Jesus D. Rodriguez,  a  stockbroker with IMS Securities disclose a prior customer dispute and a currently pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…

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  • Robert Rex, Esq.

Larry Stohs-Former Edward Jones Broker-Discloses Termination
Larry Stohs-Former Edward Jones Broker-Discloses Termination 150 150 Robert Rex, Esq.

January 2017-Columbia, South Carolina The FINRA records of  Larry A. Stohs,  a  former stockbroker with Edward Jones disclose a termination from employment and two prior customer disputes. The Financial Industry Regulatory Authority (FINRA) is the…

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  • Robert Rex, Esq.

Mid Atlantic Capital Ordered to Pay $922K to Customers-Denver, CO
Mid Atlantic Capital Ordered to Pay $922K to Customers-Denver, CO 150 150 Robert Rex, Esq.

December 2016-Denver, Colorado Brokerage firm Mid Atlantic Capital was ordered to pay a married couple $922,000 by a FINRA arbitration panel for damages they suffered to their brokerage account as…

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  • Robert Rex, Esq.

Wesley Woodyard Pleads Guilty in $4.6M Fraud Scheme-Dallas,TX
Wesley Woodyard Pleads Guilty in $4.6M Fraud Scheme-Dallas,TX 150 150 Robert Rex, Esq.

December 2016-Dallas, Texas Wesley Michael Woodyard, 65, pleaded guilty to one count of wire fraud in connection with a $4.6 million fraudulent scheme involving Ace European Insurance Company (ACE). According…

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  • Robert Rex, Esq.

Wells Fargo Fined $1M Over Consolidated Reports Provided to Customers
Wells Fargo Fined $1M Over Consolidated Reports Provided to Customers 150 150 Robert Rex, Esq.

December 2016 Wells Fargo was censured and fined $1,000,000 by the Financial Industry Regulatory Authority over its lack of supervision related to the preparation and dissemination of consolidated reports showing…

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