• Robert Rex, Esq.

Robert Tweed-Former Cabot Lodge Securities Broker- Discloses a Regulatory Event, a Civil Event, Numerous Customer Disputes and a Termination from Employment- San Marino, CA
Robert Tweed-Former Cabot Lodge Securities Broker- Discloses a Regulatory Event, a Civil Event, Numerous Customer Disputes and a Termination from Employment- San Marino, CA 150 150 Robert Rex, Esq.

THIS POST HAS BEEN UPDATE-Follow Link January 2020-San Marino, CA According to publicly available records of Robert Russel Tweed (CRD#2339324) ,  a  former stockbroker who last worked for Cabot Lodge Securities,…

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  • Robert Rex, Esq.

Marco Bartolo Azizi-Centaurus Financial, Inc. Broker-Discloses Pending Customer Disputes- San Jose, CA
Marco Bartolo Azizi-Centaurus Financial, Inc. Broker-Discloses Pending Customer Disputes- San Jose, CA 150 150 Robert Rex, Esq.

January 2020 – San Jose, CA The FINRA records of Marco Bartolo Azizi, a stockbroker who is currently employed by  Centaurus Financial, Inc., disclose  2 pending customer disputes. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Jason Zwibel-Garden State Securities Financial Advisor-Discloses Customer Disputes-Wellington, FL
Jason Zwibel-Garden State Securities Financial Advisor-Discloses Customer Disputes-Wellington, FL 150 150 Robert Rex, Esq.

January 2020 – Wellington, FL The FINRA records of Jason Eric Zwibel, a stockbroker who is currently  employed by  Garden State Securities, disclose a pending customer dispute,  4 prior customer disputes and…

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  • Robert Rex, Esq.

Kendall J. Groom- Former Independent Financial Group Broker- Barred From Securities Industry- Fresno, CA
Kendall J. Groom- Former Independent Financial Group Broker- Barred From Securities Industry- Fresno, CA 150 150 Robert Rex, Esq.

January 2020- Fresno, CA The FINRA records of Kendall J. Groom  , a broker previously employed  by  Independent Financial Group , disclose  a regulatory event resulting in his bar from the securities industry. The Financial Industry…

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  • Robert Rex, Esq.

Jose Casellas-Merrill Lynch Broker- Subject of $3 Million Customer Dispute- Guaynabo, Puerto Rico
Jose Casellas-Merrill Lynch Broker- Subject of $3 Million Customer Dispute- Guaynabo, Puerto Rico 150 150 Robert Rex, Esq.

January 2020- Guaynabo, Puerto Rico/Miami, FL According to publicly available records Jose Alberto Casellas (CRD# 2638747) ,  a  stockbroker who is employed by Merrill Lynch, Pierce, Fenner & Smith  disclose a pending customer dispute…

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  • Robert Rex, Esq.

Michael S. Sims-Former Wedbush Securities Broker- Discloses 4 Prior Customer Disputes and 1 Pending Customer Dispute- Santa Rosa, CA
Michael S. Sims-Former Wedbush Securities Broker- Discloses 4 Prior Customer Disputes and 1 Pending Customer Dispute- Santa Rosa, CA 150 150 Robert Rex, Esq.

January 2020 – Santa Rosa, CA The FINRA records of Michael Stevan Sims, a stockbroker who was last employed by  Wedbush Securities, Inc., disclose   4 prior customer disputes. The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Robert Edward Burns- Cetera Broker-Discloses Customer Disputes-Greenwood Village, CO
Robert Edward Burns- Cetera Broker-Discloses Customer Disputes-Greenwood Village, CO 150 150 Robert Rex, Esq.

January 2020- Greenwood Village, CO The FINRA records of Robert Edward Burns, a stockbroker employed by  Cetera Advisor Networks , disclose a pending customer dispute and  a prior customer dispute. The Financial Industry…

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  • Robert Rex, Esq.

Joseph A Likens-former LPL Financial Advisor-Discloses 15 Customer Disputes-Des Peres, MO
Joseph A Likens-former LPL Financial Advisor-Discloses 15 Customer Disputes-Des Peres, MO 150 150 Robert Rex, Esq.

January 2020-Des Peres, MO According to publicly available records of Joseph Alan Likens (CRD#3084903) ,  a  former stockbroker who previously worked for LPL FInancial discloses 2 regulatory events, 15 customer disputes,…

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