Annuities

  • Robert Rex, Esq.

LPL Financial Ordered to Pay $3.7M Over Variable Annuity Sales-Polaris Platinum III
LPL Financial Ordered to Pay $3.7M Over Variable Annuity Sales-Polaris Platinum III 150 150 Robert Rex, Esq.

March 2024 Update– See this for our investigation of LPL and some of their brokers.    UPDATE Jan 2017– LPL Financial  ordered to pay up to $3.7 million in restitution…

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  • Robert Rex, Esq.

William Gordon-Kovack Securities Broker-Discloses12 Customer Suits-Clearwater, FL
William Gordon-Kovack Securities Broker-Discloses12 Customer Suits-Clearwater, FL 150 150 Robert Rex, Esq.

January 2024 – Clearwater, FL According to publicly available records  William B. Gordon  (CRD# 2127800) ,  a   registered stockbroker currently employed by Kovack Securities  disclose a prior regulatory event and 12 prior…

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  • ER

Kyle Wittgren -Former NYLife Broker-Subject of 2 Regulatory Events and Termination from Employment-Frisco, TX
Kyle Wittgren -Former NYLife Broker-Subject of 2 Regulatory Events and Termination from Employment-Frisco, TX 150 150 ER

Kyle Wittgren Investigation February 20, 2023- Frisco, TX The FINRA records of Kyle Wittgren,  a stock broker previously employed by NYLife Securities,  disclose 2 regulatory events and a termination from employment. The…

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  • Robert Rex, Esq.

Robin Platt Investigation-Subject of Million Dollar Suit Over Northstar Financial Services -Covington, LA
Robin Platt Investigation-Subject of Million Dollar Suit Over Northstar Financial Services -Covington, LA 150 150 Robert Rex, Esq.

Robin Platt Investigation November 2021-Covington, LA According to FINRA records  Robin V. Platt, a financial advisor employed as a registered broker by Hancock Whitney Investment Services discloses a multi-million dollar suit…

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  • Robert Rex, Esq.

NEXT Financial Group Fined by State and Federal Regulators-Houston, Texas
NEXT Financial Group Fined by State and Federal Regulators-Houston, Texas 150 150 Robert Rex, Esq.

NEXT Financial Group Investigation September 2021-Houston, TX Houston-based NEXT  Financial Group discloses 26 prior regulatory events, according to FINRA records. These regulatory sanctions include: July 2021-FINRA censured NEXT and assessed a…

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  • Robert Rex, Esq.

Enrique Lopez-Former LPL Financial Advisor-Subject of Customer Suits-McAllen, Texas
Enrique Lopez-Former LPL Financial Advisor-Subject of Customer Suits-McAllen, Texas 150 150 Robert Rex, Esq.

September 2021-McAllen, Texas The FINRA records of  Enrique Lopez,  a  broker who is currently employed by  Arkadios Capital  disclose 4 customer disputes . The Financial Industry Regulatory Authority (FINRA) is the agency…

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  • Robert Rex, Esq.

Charles Bonilla-Former David Lerner Broker-Sanctioned Over Energy LP Sales – Boca Raton, FL
Charles Bonilla-Former David Lerner Broker-Sanctioned Over Energy LP Sales – Boca Raton, FL 150 150 Robert Rex, Esq.

July 2021- Boca Raton, FL According to publicly available records Charles Bonilla (CRD#2572107), a broker who formerly worked for  David Lerner Associates, discloses a regulatory resulting in a suspension and fine…

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  • Robert Rex, Esq.

Christopher “Cubby” Bice -Sagepoint Financial Broker-Discloses 3 Pending Customer Disputes and a Termination- Phoenix, AZ
Christopher “Cubby” Bice -Sagepoint Financial Broker-Discloses 3 Pending Customer Disputes and a Termination- Phoenix, AZ 150 150 Robert Rex, Esq.

April 2021- Phoenix, AZ According to publicly available records Christopher  R. “Cubby” Bice (CRD#3222439), a stockbroker employed with Sagepoint Financial, Inc.  discloses three pending customer disputes and a termination from…

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  • Robert Rex, Esq.

Investigation of FSC Securities Broker Lee Kramer -West Palm Beach, FL/Frederick, MD
Investigation of FSC Securities Broker Lee Kramer -West Palm Beach, FL/Frederick, MD 150 150 Robert Rex, Esq.

October 2020- West Palm Beach, Florida/Frederick, Maryland We are investigating FSC Securities Corporation financial advisor Lee R. Kramer. According to publicly available records, Lee R. Kramer discloses 7 prior regulatory…

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