• Robert Rex, Esq.

Pranav Patel-Former Dawson James Broker-Named in ForceField Energy Suit-Boca Raton, FL
Pranav Patel-Former Dawson James Broker-Named in ForceField Energy Suit-Boca Raton, FL 150 150 Robert Rex, Esq.

July 2016- Boca Raton, FL The FINRA records of Pranav V. Patel  (CRD 5391213), a stock broker who formerly was employed by Dawson James Securities , disclose that he was recently named in a customer dispute. In…

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  • Robert Rex, Esq.

Craig A. Sutherland-Money Concepts Capital Broker-Discloses $500K Customer Dispute
Craig A. Sutherland-Money Concepts Capital Broker-Discloses $500K Customer Dispute 150 150 Robert Rex, Esq.

MAY 2018 UPDATE–Craig Sutherland discloses additional customer arbitration filings and a recent FINRA sanction. See this for more.  ORIGINAL POST-July 2016- Columbus, OH The FINRA records of Craig A. Sutherland  , a stock broker…

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  • Robert Rex, Esq.

Ray G. Reese-Money Capital Concepts Broker-Discloses Customer Settlement Over Oil & Gas Investment-Farmington, MO
Ray G. Reese-Money Capital Concepts Broker-Discloses Customer Settlement Over Oil & Gas Investment-Farmington, MO 150 150 Robert Rex, Esq.

July 2020- Farmington, MO The FINRA records of Ray G. Reese  , a stock broker currently employed by Money Concepts Capital Corp , disclose  2 pending and  3 prior final customer disputes. The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Gary L. Glover-Former Ameriprise Broker-Disputes Customer Dispute Over Tenant in Common Investment
Gary L. Glover-Former Ameriprise Broker-Disputes Customer Dispute Over Tenant in Common Investment 150 150 Robert Rex, Esq.

July 2016- John Creek, Georgia The FINRA records of Gary L. Glover  , a stock broker currently employed by Concorde Investment Services, disclose  a prior final customer dispute,  2 pending customer disputes, a prior final financial event…

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  • Robert Rex, Esq.

Barry W. Lemay-Former VSR Financial Broker-Discloses Customer Dispute Over Alternative Investments
Barry W. Lemay-Former VSR Financial Broker-Discloses Customer Dispute Over Alternative Investments 150 150 Robert Rex, Esq.

Campbell, CA According to FINRA records,  Barry W. Lemay ,  a stockbroker  who  formerly worked for VSR Financial Services discloses  9 final customer disputes and  one pending customer dispute. The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Matthew T. Flynn-L.M. Kohn Broker-Discloses Customer Dispute Over REIT Investment
Matthew T. Flynn-L.M. Kohn Broker-Discloses Customer Dispute Over REIT Investment 150 150 Robert Rex, Esq.

July 2016- Troy, Michigan The FINRA records of Matthew T. Flynn  , a stock broker employed by L.M. Kohn & Company, disclose  a pending customer arbitration, a prior final financial disclosure and a prior termination. The…

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  • Robert Rex, Esq.

Douglas C. Osborn-L.M. Kohn Stock Broker Discloses Customer Dispute
Douglas C. Osborn-L.M. Kohn Stock Broker Discloses Customer Dispute 150 150 Robert Rex, Esq.

July 2016- Troy, Michigan The FINRA records of Douglas C. Osborn , a stock broker employed by L.M. Kohn & Company, disclose  a pending customer arbitration. The Financial Industry Regulatory Authority (FINRA) is the agency that…

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  • Robert Rex, Esq.

Primex Broker Jeffrey S. Cederberg Discloses Sanction -San Luis Obispo, CA
Primex Broker Jeffrey S. Cederberg Discloses Sanction -San Luis Obispo, CA 150 150 Robert Rex, Esq.

San Luis Obispo, CA UPDATE JULY 2017-In April 2017, Jeffrey Cederberg was fined $5,000 and suspended for four months by FINRA to resolve allegations that he failed to timely amend…

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