• Robert Rex, Esq.

Jeffrey Nimmow- Former Forest Securities Financial Advisor- Barred from FINRA – Merrimac, WI
Jeffrey Nimmow- Former Forest Securities Financial Advisor- Barred from FINRA – Merrimac, WI 150 150 Robert Rex, Esq.

October 2020- Hillside, IL The FINRA records of Jeffrey Scott Nimmow  , a broker previously employed  by  Forest Securities, Inc. , disclose  a regulatory event resulting in his bar from the securities industry, two pending customer…

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  • Robert Rex, Esq.

Rodney D. Potratz-FSC Securities Corporation Broker-Discloses $6 Million Pending Customer Dispute-Clive.IA
Rodney D. Potratz-FSC Securities Corporation Broker-Discloses $6 Million Pending Customer Dispute-Clive.IA 150 150 Robert Rex, Esq.

February 2020 -Clive, IA The FINRA records of Rodney David Potratz  , a stockbroker  who is currently registered with FSC Securities Corporation , disclose a $6 million pending customer dispute. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Kerry Dean Wills- First Western Securities Broker- Suspended for Borrowing from Elderly Customer- Hurst, TX
Kerry Dean Wills- First Western Securities Broker- Suspended for Borrowing from Elderly Customer- Hurst, TX 150 150 Robert Rex, Esq.

February 2010-Hurst, TX According to publicly available records of Kerry D. Wills (CRD#1353739) ,  a  stockbroker employed with First Western Securities, Inc.,  discloses a regulatory event resulting in a suspension and…

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  • Robert Rex, Esq.

John T. Howard-Raymond James Broker-Discloses $1.13 Million Award & Pending Customer Dispute-Birmingham, AL
John T. Howard-Raymond James Broker-Discloses $1.13 Million Award & Pending Customer Dispute-Birmingham, AL 150 150 Robert Rex, Esq.

February 2020- Birmingham, AL The FINRA records of John Troy Howard (CRD#2264121)  , a broker with Raymond James & Associates, Inc. discloses a prior arbitration award and a pending customer dispute. The Financial Industry…

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  • Robert Rex, Esq.

Lester Burroughs-Former Lincoln Investment Broker- Discloses 2 Regulatory Events, A Criminal Charge, Pending Customer Disputes, 8 Prior Customer Disputes and a Termination-Torrington, CT
Lester Burroughs-Former Lincoln Investment Broker- Discloses 2 Regulatory Events, A Criminal Charge, Pending Customer Disputes, 8 Prior Customer Disputes and a Termination-Torrington, CT 150 150 Robert Rex, Esq.

January 2020-Torrington, CT According to publicly available records.  Lester William Burroughs (CRD#1413972), a  former stockbroker who last worked for Lincoln Investment  discloses 2 regulatory events, a criminal charge,  a pending…

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  • Robert Rex, Esq.

Dean H. Grant-Former M Holdings Securities Broker-Discloses Pending Criminal Charges -Milledgeville, GA
Dean H. Grant-Former M Holdings Securities Broker-Discloses Pending Criminal Charges -Milledgeville, GA 150 150 Robert Rex, Esq.

February 2020- Milledgeville, GA The FINRA records of Dean Harrison Grant  , a former stock broker who last worked for M Holdings Securities, Inc. , disclose  a regulatory event resulting in a bar from the securities…

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  • Robert Rex, Esq.

Rita Marie Dulya-Former Kovac Securities Broker-Discloses Pending Criminal Charges- Theft Of a Person 65 or Older-Port St. Lucie, FL
Rita Marie Dulya-Former Kovac Securities Broker-Discloses Pending Criminal Charges- Theft Of a Person 65 or Older-Port St. Lucie, FL 150 150 Robert Rex, Esq.

February 2020- Port St. Lucie, FL The FINRA records of Rita Marie Dulya  , a former stock broker who last worked for Kovack Securities, Inc. , disclose  a regulatory event resulting in a bar from the…

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  • Robert Rex, Esq.

Steven Netzel-Former Kalos Capital Broker-Discloses Pending $300K Customer Dispute-Sun Lakes, AZ
Steven Netzel-Former Kalos Capital Broker-Discloses Pending $300K Customer Dispute-Sun Lakes, AZ 150 150 Robert Rex, Esq.

February 2020 – Sun Lakes, AZ The FINRA records of Steven M. Netzel  , a stockbroker  who is currently not registered and who previously was employed by Kalos Capital , disclose  a currently pending…

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  • Robert Rex, Esq.

Ramon Arturo Herrera-Former Wells Fargo Broker-Discloses Customer DIsputes Alleging Theft-Jersey City, NJ
Ramon Arturo Herrera-Former Wells Fargo Broker-Discloses Customer DIsputes Alleging Theft-Jersey City, NJ 150 150 Robert Rex, Esq.

February 2020-Jersey City, NJ According to publicly available records of Ramon Arturo Herrera (CRD#6021170) ,  a  former stockbroker who last worked for Wells Fargo Clearing Services,  discloses 2 regulatory events and…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Bill Braun formerly with National Securities Corp.
Rex Securities Law Investment Fraud Attorney Investigates Bill Braun formerly with National Securities Corp. 150 150 Robert Rex, Esq.

Last Updated: December 2023 (Boca Raton, FL) Bill Braun Investigation Summary Here’s what you need to know about Boca Raton, FL, stockbroker Bill Braun: Name: Mr. William John Braun Current…

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