• Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Erik Pinter a broker with LPL Financial
Rex Securities Law Investment Fraud Attorney Investigates Erik Pinter a broker with LPL Financial 150 150 Robert Rex, Esq.

Last Updated: April 2024 (Appleton, WI) Erik Pinter Investigation Summary Here’s what you need to know about Appleton, WI, stockbroker Erik Pinter: Name: Mr. Erik C. Pinter Current Employer: LPL…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Randy Redd a broker with LPL Financial
Rex Securities Law Investment Fraud Attorney Investigates Randy Redd a broker with LPL Financial 150 150 Robert Rex, Esq.

Last Updated: April 2024 (Chandler, AZ) Randy Redd Investigation Summary Here’s what you need to know about Chandler, AZ, stockbroker Randy Redd: Name: Mr. Randy Dean Redd Current Employer: LPL…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Eric Reed a broker with LPL Financial
Rex Securities Law Investment Fraud Attorney Investigates Eric Reed a broker with LPL Financial 150 150 Robert Rex, Esq.

Last Updated: April 2024 (Alexandria, Louisiana) Eric Reed Investigation Summary Here’s what you need to know about Alexandria, LA, stockbroker Eric Reed: Name: Mr. Eric Jay Reed Current Employer: LPL…

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Bob Boschke- Former CFD Investments Broker-Discloses 3 Terminations From Employment-St. Germain, WI
Bob Boschke- Former CFD Investments Broker-Discloses 3 Terminations From Employment-St. Germain, WI 150 150 ER

Bob Boschke Investigation April 2024- St. Germain, WI The FINRA records of  Robert “Bob” Boschke,   a  stockbroker previously employed by  CFD Investments, Inc.  and LPL Financial disclose  two regulatory actions and 3…

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Bruce Amman- Former LPL Financial Broker-Suspended From Securities Industry by Regulators – Golden, CO
Bruce Amman- Former LPL Financial Broker-Suspended From Securities Industry by Regulators – Golden, CO 150 150 ER

Bruce Amman Investigation April 2024-Golden, CO According to publicly available records Bruce Amman, a former broker who last worked for LPL Financial,  discloses a final regulatory matter resulting in a one…

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Scott Bremus- Former LPL Broker- Discloses Customer Suit and Termination of Employment- Dacula, GA
Scott Bremus- Former LPL Broker- Discloses Customer Suit and Termination of Employment- Dacula, GA 150 150 ER

Scott Bremus Investigation April 2024- Dacula, GA According to publicly available records Scott Bremus,  a broker previously registered with LPL Financial discloses 2 regulatory events, 2 final customer disputes and…

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Robert Alvarez- International Assets Advisory Management Broker- Discloses Regulatory Event, Customer Disputes and Terminations From Employment – Metairie, LA
Robert Alvarez- International Assets Advisory Management Broker- Discloses Regulatory Event, Customer Disputes and Terminations From Employment – Metairie, LA 150 150 ER

Robert Alvarez Investigaton April 2024- Metairie, LA According to publicly available records,  Robert Alvarez,  a broker with International Assets Investment Management discloses a regulatory event , a currently pending customer dispute,…

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  • Robert Rex, Esq.

Jason N. Anderson, Former LPL Financial Broker- Named in Unauthorized Trading/Churning Suit-Beaumont, TX
Jason N. Anderson, Former LPL Financial Broker- Named in Unauthorized Trading/Churning Suit-Beaumont, TX 150 150 Robert Rex, Esq.

April 2024 – Beaumont, Texas TEXAS STATE SECURITIES BOARD SUSPENSION-On January 30, 2018 Texas Securities State Securities Board (TSSB) Commissioner Travis J. Iles entered a Disciplinary Order  suspending Jason N. Anderson,…

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  • Robert Rex, Esq.

[INVESTOR ALERT] Commonwealth Financial Network Hit with $93 Million Penalty by SEC
[INVESTOR ALERT] Commonwealth Financial Network Hit with $93 Million Penalty by SEC 150 150 Robert Rex, Esq.

Last Updated: April 2024 Commonwealth Financial Ordered to pay $93 Million Judgment For Failure to Disclose Conflicts of Interest Five years of litigation between the U.S. Securities & Exchange Commission…

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Joseph “Joey” Cason- Former First Allied Securities Broker- Discloses 2 Pending Customer Disputes- Brunswick, GA
Joseph “Joey” Cason- Former First Allied Securities Broker- Discloses 2 Pending Customer Disputes- Brunswick, GA 150 150 ER

Joseph “Joey” Cason Investigation April, 2024 – Brunswick, GA The FINRA records of Joseph “Joey” M. Cason, a  broker currently employed by Triad Advisors, who was previously employed by First Allied Securities, Inc. disclose…

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