Annuities

  • Robert Rex, Esq.

Dion Padilla Investigation-Former NEXT Financial Group Broker-Settles Several Customer Suits Involving Annuities-San Antonio, TX
Dion Padilla Investigation-Former NEXT Financial Group Broker-Settles Several Customer Suits Involving Annuities-San Antonio, TX 150 150 Robert Rex, Esq.

May 2019 -San Antonio, Texas According to publicly available records Dion Rey Padilla ,  a  stockbroker who formerly worked for NEXT Financial ,  disclose a prior regulatory suspension and five…

read more
  • Robert Rex, Esq.

Brandon Long-Former BCG Securities Broker-Discloses Customer Suits & Regulatory Actions-Roswell, GA
Brandon Long-Former BCG Securities Broker-Discloses Customer Suits & Regulatory Actions-Roswell, GA 150 150 Robert Rex, Esq.

February  2019 – Roswell, GA According to public records of Brandon P. Long (CRD#5975459)  a  stockbroker previously employed by BCG Securities,  Inc., discloses a regulatory event, a civil event, 3 customer…

read more
  • Robert Rex, Esq.

Gary Lee Miller-Former LPL Financial Broker-Discloses Customer Dispute Involving Annuities- Eau Claire, WI
Gary Lee Miller-Former LPL Financial Broker-Discloses Customer Dispute Involving Annuities- Eau Claire, WI 150 150 Robert Rex, Esq.

October 2018 – Eau Claire, WI According to publicly available records Gary Lee Miller   (CRD#2669776) ,  a  former stockbroker who was last employed by LPL Financial ,  disclose a settled customer dispute. The Financial Industry…

read more
  • Robert Rex, Esq.

Dexter L. Thomas Litigation Update-June 2019-Dallas, TX
Dexter L. Thomas Litigation Update-June 2019-Dallas, TX 150 150 Robert Rex, Esq.

June 2019  UPDATE–Dallas, TX We are currently pursuing FINRA arbitration claims on behalf of more than 20 individuals who were were customers of Dexter Thomas Financial Services. These individuals are…

read more
  • Robert Rex, Esq.

Timothy Walsh-Former Fortune Financial Services Broker-Discloses Settlement of Customer Suit-Fort Worth, TX
Timothy Walsh-Former Fortune Financial Services Broker-Discloses Settlement of Customer Suit-Fort Worth, TX 150 150 Robert Rex, Esq.

September 2019 -Ft. Worth, Texas The FINRA records of  Timothy D. Walsh ,  a   broker who is not currently registered with any broker dealer and who was last employed by Fortune Financial…

read more
  • Robert Rex, Esq.

Bradley Freimark-Former ProEquities Broker-Subject of 25 Customer Disputes-Ostego, MN
Bradley Freimark-Former ProEquities Broker-Subject of 25 Customer Disputes-Ostego, MN 150 150 Robert Rex, Esq.

May 2018- Otsego, MN According to FINRA records,  Bradley J. Freimark ,  a stock broker who  is not currently registered and who last was employed in the industry by ProEquities Inc. , discloses 19 prior customer…

read more
  • Robert Rex, Esq.

Fifth Third Securities Hit With $6M Regulatory Sanction Over Variable Annuity Sales
Fifth Third Securities Hit With $6M Regulatory Sanction Over Variable Annuity Sales 150 150 Robert Rex, Esq.

May 2018 According to a FINRA News Release,  Fifth Third Securities was fined $4 million and required to pay $2 million in restitution for failing to appropriately consider and accurately describe the…

read more
  • Robert Rex, Esq.

Keith Fontenot-Wells Fargo Stockbroker-Discloses Settlement of Customer Suits-Lafayette, LA
Keith Fontenot-Wells Fargo Stockbroker-Discloses Settlement of Customer Suits-Lafayette, LA 150 150 Robert Rex, Esq.

April 2018 -Lafayette, LA According to publicly available records Keith A. Fontenot  (CRD#2296303) ,  a  stockbroker who currently is employed by Wells Fargo Clearing Services, disclose settlements in 2 customer disputes. The Financial…

read more
  • Robert Rex, Esq.

Park Avenue Securities Fined $300K by Securities Regulator Over Annuity Sales
Park Avenue Securities Fined $300K by Securities Regulator Over Annuity Sales 150 150 Robert Rex, Esq.

April 2018 The FINRA records of Park Avenue Securities ,  a registered brokerage firm headquartered in New York , disclose 12 prior regulatory events and one pending regulatory matter. The Financial Industry Regulatory…

read more
Enter your
text here
Verified by MonsterInsights