• Robert Rex, Esq.

William B. Wyman-Former Royal Alliance Assoc. Broker-Barred From Securities Industry-Palm Bay, FL
William B. Wyman-Former Royal Alliance Assoc. Broker-Barred From Securities Industry-Palm Bay, FL 150 150 Robert Rex, Esq.

April 2017- Palm Bay, FL The FINRA records of  William B. Wyman ,  a  former stockbroker who was  employed by  Royal Alliance Associates disclose a prior regulatory event,  a pending customer dispute, two prior…

read more
  • Robert Rex, Esq.

William H. Watson III-Former Freedom Investors Broker- Discloses Regulatory events, Customer Disputes-Federal Tax Liens-Orange County, CA
William H. Watson III-Former Freedom Investors Broker- Discloses Regulatory events, Customer Disputes-Federal Tax Liens-Orange County, CA 150 150 Robert Rex, Esq.

August 2018 -Orange County, CA According to publicly available records William Henry Watson III (CRD#1016938) , a  stockbroker who was previously registered with Freedom Investors Corp, disclose  two regulatory events , seven customer disputes and…

read more
  • Robert Rex, Esq.

Ernest Romer III-Former CoreCap Investments Broker-Alleged to Have Stolen Funds from Securities Customers-Sterling Heights, MI
Ernest Romer III-Former CoreCap Investments Broker-Alleged to Have Stolen Funds from Securities Customers-Sterling Heights, MI 150 150 Robert Rex, Esq.

APRIL 2018 UPDATE–The FINRA record of Ernest Romer III now discloses 15 pending customer disputes and 5 prior final customer disputes and 2 pending investigations. The investigations by Michigan Department…

read more
  • Robert Rex, Esq.

Trevor M. Carney-Former Axiom Capital Management Broker-Sanctioned by Texas Regulator-Austin, TX
Trevor M. Carney-Former Axiom Capital Management Broker-Sanctioned by Texas Regulator-Austin, TX 150 150 Robert Rex, Esq.

JUNE 2017- Austin, Texas According to publicly available records Trevor M. Carney (CRD#5657735) ,  a  stockbroker who is employed by  Ascendant Alternative Strategies, discloses a recent regulatory event and two outstanding judgment/liens. The Financial…

read more
  • Robert Rex, Esq.

John  J. Gorman IV-Former Tejas Securities Group Broker-Discloses Regulatory Matter-Austin, TX
John  J. Gorman IV-Former Tejas Securities Group Broker-Discloses Regulatory Matter-Austin, TX 150 150 Robert Rex, Esq.

June 2017- Austin, TX According to publicly available records     John  J. Gorman IV  (CRD#1070636) ,  a  stockbroker who is currently unregistered disclose a currently pending regulatory matter, 3 prior regulatory events,  2…

read more
  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates TCFG Wealth Management Broker Scott Offerman
Rex Securities Law Investment Fraud Attorney Investigates TCFG Wealth Management Broker Scott Offerman 150 150 Robert Rex, Esq.

Last Updated: November 2023 (New York, NY) Scott Offerman Investigation Summary Here’s what you need to know about New York, NY, stockbroker Scott Offerman: Name: Mr. Scott Offerman Current Employer:…

read more
  • Robert Rex, Esq.

Nicholas Toadvine – Former Investors Capital Corp. Broker- Discloses 12 Prior Final Customer Disputes – Lakeland, FL
Nicholas Toadvine – Former Investors Capital Corp. Broker- Discloses 12 Prior Final Customer Disputes – Lakeland, FL 150 150 Robert Rex, Esq.

May 2017- Lakeland, FL According to publicly available records Nicholas S. Toadvine, (CRD#3260858) ,  a  stockbroker who  was previously registered with Investors Capital Corp. discloses 12  prior final  customer disputes. The Financial Industry Regulatory Authority (FINRA) is the…

read more
  • Robert Rex, Esq.

George B. Medina-CV Brokerage Inc Broker-Discloses Termination From Employment-New York
George B. Medina-CV Brokerage Inc Broker-Discloses Termination From Employment-New York 150 150 Robert Rex, Esq.

May 2017-New York The FINRA records of  George B. Medina ,  a  stockbroker who is currently registered with CV Brokerage Inc. disclose a termination from employment and outstanding judgment/liens . The Financial Industry Regulatory Authority (FINRA) is…

read more
  • Robert Rex, Esq.

Steven P. Sappington-G.A. Repple Broker-Discloses Financial Events and Customer Dispute-Waco, TX
Steven P. Sappington-G.A. Repple Broker-Discloses Financial Events and Customer Dispute-Waco, TX 150 150 Robert Rex, Esq.

April 2017-Waco, Texas The FINRA records of  Steven P. Sappington ,  a  stockbroker who is currently registered with G.A. Repple disclose a  prior customer dispute, 3 pending financial events and 2 prior financial events.…

read more
Enter your
text here

You cannot copy content of this page