• Robert Rex, Esq.

Dallas Broker Sanctioned for Misrepresentations Made on RadioTalk Show
Dallas Broker Sanctioned for Misrepresentations Made on RadioTalk Show 150 150 Robert Rex, Esq.

August 4, 2015 Daniel Levin, of Dallas, TX ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he made statements…

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  • Robert Rex, Esq.

Robert K Smith- Former Berthel Fisher Broker-Discloses Customer Disputes- Mobile, Alabama
Robert K Smith- Former Berthel Fisher Broker-Discloses Customer Disputes- Mobile, Alabama 150 150 Robert Rex, Esq.

UPDATE MARCH 2017-In  April 2016 Robert K. Smith was suspended by FINRA for three. The suspension was lifted July 12, 2016.  Smith currently discloses a total of 13 prior customer…

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