• Robert Rex, Esq.

Stewart K. Williams, Sweetwater, TX, Man Pleads Guilty to $12.3 Million Wire Fraud
Stewart K. Williams, Sweetwater, TX, Man Pleads Guilty to $12.3 Million Wire Fraud 150 150 Robert Rex, Esq.

APRIL 2021-Sweetwater, Texas According to Prerak Shah, Acting U.S. Attorney for the Northern District of Texas, a former Sweetwater businessman – Stewart Kyle Williams, 31,  has pleaded guilty to a…

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  • Robert Rex, Esq.

John Krohn-Former Principal Securities Broker-Customers Seek Damages of Nearly $40 Million-Des Moines, IL
John Krohn-Former Principal Securities Broker-Customers Seek Damages of Nearly $40 Million-Des Moines, IL 150 150 Robert Rex, Esq.

April 2021- Des Moines, IL According to publicly available records John Krohn  (CRD#2722975), a former stockbroker who last worked for Principal Securities, Inc.  discloses a regulatory event , 3 pending…

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  • Robert Rex, Esq.

Christopher “Cubby” Bice -Sagepoint Financial Broker-Discloses 3 Pending Customer Disputes and a Termination- Phoenix, AZ
Christopher “Cubby” Bice -Sagepoint Financial Broker-Discloses 3 Pending Customer Disputes and a Termination- Phoenix, AZ 150 150 Robert Rex, Esq.

April 2021- Phoenix, AZ According to publicly available records Christopher  R. “Cubby” Bice (CRD#3222439), a stockbroker employed with Sagepoint Financial, Inc.  discloses three pending customer disputes and a termination from…

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  • Robert Rex, Esq.

Richard L. Pittman-Cetera Advisors Broker-Discloses Settlement of Customer Suits-Memphis, TN
Richard L. Pittman-Cetera Advisors Broker-Discloses Settlement of Customer Suits-Memphis, TN 150 150 Robert Rex, Esq.

January 2021- Memphis, TN The FINRA records of Richard Lynn Pittman, a stockbroker employed by  Cetera Advisors, disclose  4 prior customer disputes . The Financial Industry Regulatory Authority (FINRA) is the agency…

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  • Robert Rex, Esq.

Jeffrey Alan Blutstein-Former Kestra Broker-Permanently Barred From FINRA-Holbrook, NY
Jeffrey Alan Blutstein-Former Kestra Broker-Permanently Barred From FINRA-Holbrook, NY 150 150 Robert Rex, Esq.

December  2020- Holbrook, NY According to publicly available records  Jeffrey Alan Blutstein (CRD#1398688), a  former stockbroker who last worked for American Portfolios Financial Services,  discloses a regulatory event and a…

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  • Robert Rex, Esq.

Charles Burchard-Former Allstate Financial Broker-Barred from Securities Industry-Spring, TX
Charles Burchard-Former Allstate Financial Broker-Barred from Securities Industry-Spring, TX 150 150 Robert Rex, Esq.

December 2020-Spring, TX According to publicly available records, former Allstate Financial Services, Inc.  financial advisor Charles Don Burchard has been barred from the securities industry. The Financial Industry Regulatory Authority (FINRA) is the…

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  • Robert Rex, Esq.

Spenser Sullivant- Former Waddell & Reed Broker-Suspended for 18 Months -St. Louis, MO
Spenser Sullivant- Former Waddell & Reed Broker-Suspended for 18 Months -St. Louis, MO 150 150 Robert Rex, Esq.

December 2020-St. Louis, MO According to publicly available records of Spenser William Sullivant (CRD#6524062) ,  a  former stockbroker who is currently unregistered who worked for Waddell & Reed,  discloses a regulatory…

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  • Robert Rex, Esq.

Mark Alex Reffett- Former Triad Advisors Broker- Discloses $1.5 Million Customer Dispute- Atlanta, GA
Mark Alex Reffett- Former Triad Advisors Broker- Discloses $1.5 Million Customer Dispute- Atlanta, GA 150 150 Robert Rex, Esq.

November 2020- Atlanta, GA According to publicly available records, former Triad Advisors broker Mark Alex Reffett  discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that…

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  • Robert Rex, Esq.

Keith Ashley-Parkland Securities Broker/ Allen Brewery Owner-Charged with Murder of Client-Carrollton, TX
Keith Ashley-Parkland Securities Broker/ Allen Brewery Owner-Charged with Murder of Client-Carrollton, TX 150 150 Robert Rex, Esq.

November 2020- Dallas, TX  ASHLEY ACCUSED OF MURDERING CLIENT AND STAGING COVERUP TO LOOK LIKE SUICIDE According to  Fox4 KDFW news, Nine Band Brewing owner and former Parkland Securities financial…

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