Broker Disclosing Outstanding Liens/Judgments

  • Robert Rex, Esq.

Rhonda J. Matthews-Former Prospera Financial Broker-Discloses Suspension
Rhonda J. Matthews-Former Prospera Financial Broker-Discloses Suspension 150 150 Robert Rex, Esq.

Austin, Texas According to FINRA records,  Rhonda Janeen Matthews (aka Rhonda Allen)  ,  a former stockbroker  who most recently worked  for Prospera Financial Services , discloses  a  regulatory event, a termination and 2 outstanding…

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  • Robert Rex, Esq.

Ralph B. Marra-Former Morgan Stanley Broker-Discloses Two Pending Customer Disputes-Red Bank, NJ
Ralph B. Marra-Former Morgan Stanley Broker-Discloses Two Pending Customer Disputes-Red Bank, NJ 150 150 Robert Rex, Esq.

Red Bank, New Jersey UPDATE July 2016–FINRA records disclose that Ralph B. Marra has an outstanding Internal Revenue Service levy at the court in Freehold New Jersey, in the amount…

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  • Robert Rex, Esq.

Robert L. Rosenstein-Moody Capital Solutions Broker-Discloses Judgements/Liens
Robert L. Rosenstein-Moody Capital Solutions Broker-Discloses Judgements/Liens 150 150 Robert Rex, Esq.

Dawsonville, Georgia According to FINRA records,  Robert L. Rosenstein ,   a stock broker  formerly employed by Ladenburg, Thalmann & Co. , discloses the discharge from a Chapter 7 bankruptcy in 2012  and 5 pending judgment/liens. He is…

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  • Robert Rex, Esq.

Johnathan W. McHale-Former PHX Financial Broker-Makes Numersous Diclosures On FINRA Record
Johnathan W. McHale-Former PHX Financial Broker-Makes Numersous Diclosures On FINRA Record 150 150 Robert Rex, Esq.

New York According to FINRA records,  Johnathan W. McHale ,   a stock broker  formerly employed by PHX Financial , discloses seven final customer disputes, a termination and 7 pending judgment/liens. The Financial Industry Regulatory Authority (FINRA) is the agency…

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  • Robert Rex, Esq.

Francesco A. Scarso-First Standard Financial Broker-Discloses Pending Customer Dispute-NY
Francesco A. Scarso-First Standard Financial Broker-Discloses Pending Customer Dispute-NY 150 150 Robert Rex, Esq.

New York MAY 2017 UPDATE–Francesco Scarso was permanently barred from the securities industry in 2/2017 for failing to respond to a request for information in connection with an investigation.  …

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  • Robert Rex, Esq.

Noe Garcia, Sr. of State Farm VP Management Sanctioned by Securities Regulator
Noe Garcia, Sr. of State Farm VP Management Sanctioned by Securities Regulator 150 150 Robert Rex, Esq.

Odessa, Texas According to FINRA records, Noe Garcia, Sr. ,  a former investment company products and variable contracts representative for State Farm VP Management  from 5/2007-11/2015 discloses that he was sanctioned by FINRA for failing to amend…

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  • Robert Rex, Esq.

Danny M. Thomas-Former Broker with State Farm VP Management-Barred From Securities Industry
Danny M. Thomas-Former Broker with State Farm VP Management-Barred From Securities Industry 150 150 Robert Rex, Esq.

Little Rock, Arkansas According to FINRA records, Danny M. Thomas ,  a broker who worked for State Farm VP Management  from 8/2003-9/2015 discloses that he was permanently barred from the securities industry in May 2016. The…

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  • Robert Rex, Esq.

Jeffrey L. Boddy-Woodbury Financial Broker-Discloses Numerous Tax Liens
Jeffrey L. Boddy-Woodbury Financial Broker-Discloses Numerous Tax Liens 150 150 Robert Rex, Esq.

Farmington, New Mexico According to FINRA records, Jeffrey L. Boddy a broker who works for Woodbury Financial Services, Inc. discloses 1 prior customer dispute and 24 unsatisfied and outstanding judgments or…

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  • Robert Rex, Esq.

Thomas M. Hakim-G.A. Repple Broker-Discloses Numerous Outstanding Tax Liens-Macomb, MI
Thomas M. Hakim-G.A. Repple Broker-Discloses Numerous Outstanding Tax Liens-Macomb, MI 150 150 Robert Rex, Esq.

March 28, 2016-Macomb, Michigan According to FINRA records, financial advisor Thomas M. Hakim , who has been registered with  G.A. Repple & Co. since March 2014, currently has 18 outstanding judgments…

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