• Robert Rex, Esq.

Mickey Long-VSR Financial Broker- Sanctioned by Texas State Securities Board-Plano, TX
Mickey Long-VSR Financial Broker- Sanctioned by Texas State Securities Board-Plano, TX 150 150 Robert Rex, Esq.

October 2016-Plano, Texas The Texas State Securities Board (TSSB) entered a Disciplinary Order against M. F. (Mickey) Long II who operates First Financial Services Group in Plano, TX, and stock brokerage…

read more
  • Robert Rex, Esq.

Bob Wamhoff-Former VSR Financial Broker-Discloses Pending Customer Disputes
Bob Wamhoff-Former VSR Financial Broker-Discloses Pending Customer Disputes 150 150 Robert Rex, Esq.

UPDATE MARCH 2018-Follow this link for most recent update. UPDATE SEPTEMBER 2017–Robert Wamhoff discloses 2 currently pending customer disputes: 7/2017-a customer of VSR Financial Services alleges poor performance of oil…

read more
  • Robert Rex, Esq.

Robert B. Hardcastle-Former VSR Financial Broker-Discloses Settlement of Customer Disputes-Chesterfield, MO.
Robert B. Hardcastle-Former VSR Financial Broker-Discloses Settlement of Customer Disputes-Chesterfield, MO. 150 150 Robert Rex, Esq.

September 2016-Chesterfield, MO The FINRA records of  Robert B. Hardcastle,  a  stockbroker who was formerly employed by  VSR Financial Services  disclose 11 prior customer disputes that are final. The Financial Industry Regulatory Authority (FINRA) is the agency that…

read more
  • Robert Rex, Esq.

Charles J. Lawrence-Former Morgan Stanley Broker-Barred From Industry For Exploitation of Elderly Customer
Charles J. Lawrence-Former Morgan Stanley Broker-Barred From Industry For Exploitation of Elderly Customer 150 150 Robert Rex, Esq.

JANUARY 2020 UPDATE–Charles Lawrence barred from industry by FINRA for exploitation of elderly customer. See this for more information.  September 2016-Palm Harbor, Florida The FINRA records of  Charles J. Lawrence,  a  stockbroker who…

read more
  • Robert Rex, Esq.

Athanasios Tomaras-Former Fulcrum Securities Broker-Discloses Suit Over Energy Investments-Oldsmar, FL
Athanasios Tomaras-Former Fulcrum Securities Broker-Discloses Suit Over Energy Investments-Oldsmar, FL 150 150 Robert Rex, Esq.

Oldsmar, Florida-UPDATE OCTOBER 2017-In October 2016 a customer of Fulcrum Securities file FINRA arbitration 16-02962 seeking damages of $189,000 and alleging that Mr. Tomaras made unsuitable investment recommendations in equities…

read more
  • Robert Rex, Esq.

James E. Mahan-Former Raymond James Broker-Sanctioned by Securities Regulator-New Braunfels, TX
James E. Mahan-Former Raymond James Broker-Sanctioned by Securities Regulator-New Braunfels, TX 150 150 Robert Rex, Esq.

August 2016-New Braunfels, Texas The FINRA records of  James E. Mahan,  a  former stockbroker who most recently worked for Raymond James Financial Services  disclose a recent regulatory matter resulting in his permanent…

read more
  • Robert Rex, Esq.

Douglas P. Simanski-Former NEXT Financial Group Broker-Discharged for Theft
Douglas P. Simanski-Former NEXT Financial Group Broker-Discharged for Theft 150 150 Robert Rex, Esq.

Altoona, PA UPDATE MAY 2017-The FINRA records of former NEXT Financial Group broker Douglas Simanski currently disclose 13 pending customer disputes and 3 customer disputes that are final. The newly…

read more
  • Robert Rex, Esq.

Jeffrey E. Sigman-Former Neidiger Tucker Bruner Broker-Discloses Employment Separation
Jeffrey E. Sigman-Former Neidiger Tucker Bruner Broker-Discloses Employment Separation 150 150 Robert Rex, Esq.

August 2016-Englewood, CO The FINRA records of  Jeffrey E. Sigman,  a  stockbroker who currently is not currently registered  disclose 1 prior final customer dispute and a recent  employment separation after allegations. The Financial Industry…

read more
  • Robert Rex, Esq.

Charles C. Shafe-Transam Securities Broker-Discloses Customer Disputes Over Alternative Investments
Charles C. Shafe-Transam Securities Broker-Discloses Customer Disputes Over Alternative Investments 150 150 Robert Rex, Esq.

MAY 2018 UPDATE-Charles C. Shafe discloses a pending customer dispute in which a customer of Transam Securities alleges damages of $15,597 in connection with a real estate investment. ORIGINAL POST…

read more
  • Robert Rex, Esq.

Steven Ray Hinkle-Former Dynasty Capital Partners Broker-Sanctioned by Regulator
Steven Ray Hinkle-Former Dynasty Capital Partners Broker-Sanctioned by Regulator 150 150 Robert Rex, Esq.

Englewood, CO The FINRA records of  Steven Ray Hinkle,  a  stock broker who currently is employed by Neidiger, Tucker, Bruner discloses a final FINRA regulatory event. The Financial Industry Regulatory Authority (FINRA) is the…

read more
Enter your
text here

You cannot copy content of this page