• Robert Rex, Esq.

San Antonio Based Investment Professionals, Inc. Sanctioned Over Sales to Senior Citizens
San Antonio Based Investment Professionals, Inc. Sanctioned Over Sales to Senior Citizens 150 150 Robert Rex, Esq.

March 2017-San Antonio, Texas San Antonio, Texas, based stock brokerage firm Investment Professionals, Inc.  (IPI)  was ordered by William F. Galvin of the Massachusetts Securities Division to pay a $100,000 fine and offer…

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  • Robert Rex, Esq.

Mickey Long-Former VSR Financial Services Broker-Discloses Pending Customer Disputes-Plano, TX
Mickey Long-Former VSR Financial Services Broker-Discloses Pending Customer Disputes-Plano, TX 150 150 Robert Rex, Esq.

February  2017-Plano, Texas According to public records former VSR Financial Services broker M. F. (Mickey) Long discloses a prior final regulatory event, 10 prior customer disputes that are final and…

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  • Robert Rex, Esq.

Paul M. Alexander Jr.-Former Raymond James Broker-Discloses Customer Disputes-Palm Beach Gardens
Paul M. Alexander Jr.-Former Raymond James Broker-Discloses Customer Disputes-Palm Beach Gardens 150 150 Robert Rex, Esq.

February 2017-Palm Beach Gardens, FL According to publicly available records Paul M. Alexander, Jr.  , (CRD# 4285605) ,  a  currently unregistered stockbroker who last was employed by Raymond James & Associates, discloses a…

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  • Robert Rex, Esq.

From Securities Regulator-List Of Things Your StockBroker Is Prohibited From Doing
From Securities Regulator-List Of Things Your StockBroker Is Prohibited From Doing 150 150 Robert Rex, Esq.

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well…

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  • Robert Rex, Esq.

William F. Albin-former Waddell & Reed Broker-Discloses Discharge
William F. Albin-former Waddell & Reed Broker-Discloses Discharge 150 150 Robert Rex, Esq.

July 2016- Las Vegas, NV According to publicly available records William F. Albin , (CRD# 1744984) ,  a  stockbroker who is currently unregistered discloses that he was discharged from Waddell & Reed, Inc. in July…

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  • Robert Rex, Esq.

Bruce R. Clark-Wells Fargo Broker-Disciplined by Texas Regulator-Longview, TX
Bruce R. Clark-Wells Fargo Broker-Disciplined by Texas Regulator-Longview, TX 150 150 Robert Rex, Esq.

December 2016- Longview, Texas The Texas State Securities Board (TSSB) sanctioned  Bruce Russell Clark (CRD# 2848753) of Longview, Texas,  reprimanding him and assessing an administrative fine of $5,000. According to the TSSB…

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  • Robert Rex, Esq.

Ty Bauer-Alexander Capital Broker-Discloses Customer Disputes-Oxford, MS
Ty Bauer-Alexander Capital Broker-Discloses Customer Disputes-Oxford, MS 150 150 Robert Rex, Esq.

January 2017- Oxford, MS According to publicly available records Ty Kevin Bauer , (CRD# 2150885) ,  a  stockbroker who is currently employed by Alexander Capital,  disclose 2 prior customer disputes. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Lizabeth Gotuaco Ty-Former Park Avenue Securities Broker-Discloses Customer Disputes Over Unregistered Promissory Notes
Lizabeth Gotuaco Ty-Former Park Avenue Securities Broker-Discloses Customer Disputes Over Unregistered Promissory Notes 150 150 Robert Rex, Esq.

UPDATE February 2017– Lizabeth Beth Ty, also known as Lizabeth Gotuaco Ty discloses that another customer of Park Avenue Securities has filed a FINRA arbitration (case #17-429) alleging damages of…

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  • Robert Rex, Esq.

Texas Attorney & Two Co-Conspirators Found Guilty of Money Laundering and Fraud
Texas Attorney & Two Co-Conspirators Found Guilty of Money Laundering and Fraud 150 150 Robert Rex, Esq.

October 2016-Tampa, Florida Licensed Texas attorney Perry Don Cortese, 53, of Little River, Texas, was found guilty of conspiracy to commit international money laundering and conspiracy to commit mail and wire…

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