• Robert Rex, Esq.

Johnny Guan-Aegis Capital Broker-Discloses Customer Disputes-Red Bank, NJ
Johnny Guan-Aegis Capital Broker-Discloses Customer Disputes-Red Bank, NJ 150 150 Robert Rex, Esq.

November 2020- Red Bank, NJ According to publicly available records Johnny Guan  (CRD#5711977), a stockbroker employed with Aegis Capital discloses two settled customer disputes. The Financial Industry Regulatory Authority (FINRA) is the…

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  • Robert Rex, Esq.

Irene Engard- Former PFS Investments Broker-Barred From FINRA- Federal Way, WA
Irene Engard- Former PFS Investments Broker-Barred From FINRA- Federal Way, WA 150 150 Robert Rex, Esq.

November 2020- Federal Way, WA According to publicly available records, former PFS Investments, Inc,  financial advisor Irene Engard,  has been barred from the securities industry. The Financial Industry Regulatory Authority (FINRA) is…

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  • Robert Rex, Esq.

Jeffrey Slothower-Former Private Client Services Broker-Discloses Regulatory Event and a Settled Customer Dispute-New York, NY
Jeffrey Slothower-Former Private Client Services Broker-Discloses Regulatory Event and a Settled Customer Dispute-New York, NY 150 150 Robert Rex, Esq.

November 2020- New York, NY According to publicly available records, former Private Client Services financial advisor Jeffrey Slothower,  was suspended  from the securities industry by FINRA. The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Keith Thomas Lohm, Sr.-Previous Citizens Securities, Inc. Broker-Discloses Termination- Pittsburg, PA
Keith Thomas Lohm, Sr.-Previous Citizens Securities, Inc. Broker-Discloses Termination- Pittsburg, PA 150 150 Robert Rex, Esq.

November  2020- Pittsburg, PA According to publicly available records  Keith Thomas Lohm, Sr. (CRD#1516728), a  former stockbroker who last worked for Citizens Securities, Inc.,  discloses a termination from employment. The…

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  • Robert Rex, Esq.

Charles Teixeira-UBS Financial Broker-Discloses Settled Customer Disputes and Pending Customer Disputes-New York, NY
Charles Teixeira-UBS Financial Broker-Discloses Settled Customer Disputes and Pending Customer Disputes-New York, NY 150 150 Robert Rex, Esq.

November 2020- New York, NY According to publicly available records,    UBS Financial Services, Inc.  financial advisor Charles S. Teixeira,  discloses 2 settled customer disputes and two pending customer disputes.…

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  • Robert Rex, Esq.

William G. Mason- Stifel Nicolaus Broker-Discloses Pending Customer Dispute -New Orleans, LA
William G. Mason- Stifel Nicolaus Broker-Discloses Pending Customer Dispute -New Orleans, LA 150 150 Robert Rex, Esq.

November 2020- New Orleans, LA According to publicly available records, a  Stifel, Nicolaus & Company broker William Geary Mason  discloses a pending customer dispute and a termination. The Financial Industry…

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  • Robert Rex, Esq.

Mark Hopkins- Former American Portfolios Financial Broker-Barred from Securities Industry- Discloses Regulatory Events & Customer Disputes -Grand Blanc, MI
Mark Hopkins- Former American Portfolios Financial Broker-Barred from Securities Industry- Discloses Regulatory Events & Customer Disputes -Grand Blanc, MI 150 150 Robert Rex, Esq.

November 2020- Grand Blanc, MI According to publicly available records, former American Portfolios Financial Services, Inc. (APFS) ,  financial advisor Mark Lewton Hopkins,  has been barred from the securities industry by…

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  • Robert Rex, Esq.

David Mirolli-Kalos Capital, inc. Broker- Discloses Settled Customer dispute-Alpharetta, GA
David Mirolli-Kalos Capital, inc. Broker- Discloses Settled Customer dispute-Alpharetta, GA 150 150 Robert Rex, Esq.

November 2020- Alpharetta, GA According to publicly available records, Kalos Capital, Inc.  broker David Mirolli discloses a settled customer dispute and 2 pending customer disputes. The Financial Industry Regulatory Authority (FINRA) is the agency…

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  • Robert Rex, Esq.

Michael Mountjoy-Former LPL Financial Broker- Discloses Regulatory Event and Termination-Louisville, KY
Michael Mountjoy-Former LPL Financial Broker- Discloses Regulatory Event and Termination-Louisville, KY 150 150 Robert Rex, Esq.

November 2020- Louisville, KY According to publicly available records Michael Mountjoy (CRD#4421573), an unregistered broker who last worked for LPL Financial,  discloses a regulatory event and a termination from employment.…

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  • Robert Rex, Esq.

Tom Thacker II- Oppenheimer Broker- Discloses $440K Customer Dispute-Beachwood, OH
Tom Thacker II- Oppenheimer Broker- Discloses $440K Customer Dispute-Beachwood, OH 150 150 Robert Rex, Esq.

November 2020- Beachwood, OH According to publicly available records, a Oppenheimer,  broker Tom G. Thacker II,   discloses a recently filed pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is…

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