• Robert Rex, Esq.

J.J. Heaton-Former Merrill Lynch Broker-Discloses Customer Dispute Over Annuity Purchase
J.J. Heaton-Former Merrill Lynch Broker-Discloses Customer Dispute Over Annuity Purchase 150 150 Robert Rex, Esq.

August  2016-The Villages, Florida The FINRA records of J.J. Heaton ,  a  stock broker who is currently employed by Raymond James & Assoc. , disclose a pending customer dispute brought by a customer of Merrill Lynch,  Heaton’s prior employer.…

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  • Robert Rex, Esq.

Hank Werner-Former Legend Securities Broker-Discloses Investigation for Churning Account of Blind & Disabled Widow
Hank Werner-Former Legend Securities Broker-Discloses Investigation for Churning Account of Blind & Disabled Widow 150 150 Robert Rex, Esq.

August  2016-New York The FINRA records of Hank M. Werner ,  a  currently unlicensed stock broker who was most recently employed by Legend Securities Inc.  , discloses a pending FINRA investigation in which he was charged with…

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  • Robert Rex, Esq.

Dion R. Padilla-NEXT Financial Group Broker-Sanctioned Over Annuity Sales
Dion R. Padilla-NEXT Financial Group Broker-Sanctioned Over Annuity Sales 150 150 Robert Rex, Esq.

May 2019 UPDATE- Dion Padilla/ AT&T Retirement Account investigation. See this for details.   ORIGINAL POST-July 2016- San Antonio, Texas The FINRA records of Dion R. Padilla  , a stock broker currently employed by NEXT…

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  • Robert Rex, Esq.

Douglas C. Robb-Former Cuso Financial Services Broker-Discloses Termination From Employment
Douglas C. Robb-Former Cuso Financial Services Broker-Discloses Termination From Employment 150 150 Robert Rex, Esq.

Port Chester, New York According to FINRA records,  Douglas C. Robb, Jr. ,   a stockbroker who was recently employed by Cuso Financial Services , discloses  a termination. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and…

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  • Robert Rex, Esq.

Terry W. Chilton-Former IMS Securities Broker-Discloses Regulatory Investigation/Customer Dispute
Terry W. Chilton-Former IMS Securities Broker-Discloses Regulatory Investigation/Customer Dispute 150 150 Robert Rex, Esq.

June 2016—-Beaumont, Texas According to FINRA records,  Terry W. Chilton ,   a stockbroker who formerly was employed by IMS Securities.   discloses  a pending regulatory investigation and a pending customer dispute. In June 2015, a FINRA…

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  • Robert Rex, Esq.

Robert M. Kuhn-Former UBS Broker-DIscloses Customer Dispute and Regulatory Matter-Plano, TX
Robert M. Kuhn-Former UBS Broker-DIscloses Customer Dispute and Regulatory Matter-Plano, TX 150 150 Robert Rex, Esq.

Plano, Texas According to FINRA records, Robert M. Kuhn ,  a stock broker who worked for UBS Financial Services from  9/2011-11/2015 discloses a regulatory matter that has been finalized , a pending customer dispute  and…

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  • Robert Rex, Esq.

Dion R. Padilla-NEXT Financial Group Stockbroker-Investigation Update
Dion R. Padilla-NEXT Financial Group Stockbroker-Investigation Update 150 150 Robert Rex, Esq.

May 2019 UPDATE- Dion Padilla/ AT&T Retirement Account investigation. See this for details.   Original Post-May 2016 San Antonio, Texas According to FINRA records, Dion R. Padilla ,  a stock broker who has…

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  • Robert Rex, Esq.

Michael J. Smeriglio Customer Paid $2.5 Million Settlement
Michael J. Smeriglio Customer Paid $2.5 Million Settlement 150 150 Robert Rex, Esq.

April 2016-Trumbull, CT The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and…

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  • Robert Rex, Esq.

Robert Hardcastle Investigation-VSR Financial Services Stockbroker
Robert Hardcastle Investigation-VSR Financial Services Stockbroker 150 150 Robert Rex, Esq.

Chesterfield, MO Rex Securities Law is investigating VSR Financial Services broker Robert B. Hardcastle  in connection with the sale of fixed annuities, mutual funds, equities,  limited partnerships, direct investments in oil & gas,  and…

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