• Robert Rex, Esq.

Summit Brokerage Services Sanctioned for Churning Accounts-Boca Raton, FL
Summit Brokerage Services Sanctioned for Churning Accounts-Boca Raton, FL 150 150 Robert Rex, Esq.

July 2019-Boca Raton, FL Wealthmangement.com reports that Summit Brokerage Services, an independent broker dealer headquartered in Boca Raton, FL,  will close it doors and roll its business up into an…

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  • Robert Rex, Esq.

Travis Hughes of Hughes Financial Group-Discloses Numerous Customer Suits-El Paso, TX
Travis Hughes of Hughes Financial Group-Discloses Numerous Customer Suits-El Paso, TX 150 150 Robert Rex, Esq.

  Link to March 2024 UPDATE January 2019-El Paso, Texas According to publicly available records   Travis Jerome Hughes , a  stockbroker who is currently registered with Cetera Advisors  disclose a currently pending customer…

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  • Robert Rex, Esq.

Scott Kozak-Former Cetera Advisors Broker-Subject of Regulatory Investigation-Highland Ranch, CO
Scott Kozak-Former Cetera Advisors Broker-Subject of Regulatory Investigation-Highland Ranch, CO 150 150 Robert Rex, Esq.

September 2019-Highland Ranch, CO The FINRA records of  Scott P. Kozak ,  a  unregistered broker who was last employed by  Cetera Advisors disclose  a recent regulatory event, 4 prior customer disputes  and…

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  • Robert Rex, Esq.

Peter Klaass and Heath Bowen-Former Allegis Investment Advisors-Sued Over Option Trading-Idaho Falls, ID
Peter Klaass and Heath Bowen-Former Allegis Investment Advisors-Sued Over Option Trading-Idaho Falls, ID 150 150 Robert Rex, Esq.

April 2019-Idaho Falls, ID  The FINRA records of two former Allegis Investment Advisors stockbrokers , Peter Gerhard Klaass and Heath Shayne Bowen   disclose that the Colorado Division of Securities alleged…

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  • Robert Rex, Esq.

David J. Schmerber-Former LPL Financial Broker-Settles Dispute Over Unsuitable Investments-Centerville, OH
David J. Schmerber-Former LPL Financial Broker-Settles Dispute Over Unsuitable Investments-Centerville, OH 150 150 Robert Rex, Esq.

May 2018- Centerville, OH According to FINRA records, David Joseph Schmerber,  a  stockbroker who was  formerly employed by LPL Financial Services, disclose  the recent settlement of a customer dispute. The Financial Industry…

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  • Robert Rex, Esq.

Utah Regulators Move to Fine Cetera, LPL an CUSO Financial Services Over Credit Union Operations
Utah Regulators Move to Fine Cetera, LPL an CUSO Financial Services Over Credit Union Operations 150 150 Robert Rex, Esq.

May 2018-Salt Lake City, Utah The Utah Division of Securities filed actions against Cetera Advisor Network, Paul W. Neuenswander and Financial Network FID West LLC, d/b/a Peak Financial Network Solutions…

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  • Robert Rex, Esq.

Mohamed Debbagh-Former Cetera Advisors Broker-Discloses Pending Customer Suit-Boca Raton, FL
Mohamed Debbagh-Former Cetera Advisors Broker-Discloses Pending Customer Suit-Boca Raton, FL 150 150 Robert Rex, Esq.

April 2018 -Boca Raton, FL According to FINRA records, Mohamed Debbagh,  a   stockbroker who was recently  employed by Cetera Advisors  , disclose  a pending dispute by a former customer. The Financial…

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  • Robert Rex, Esq.

Martin Brooks-Former Cetera Advisors Broker-Discloses Settlement of $490K Customer Dispute-Lee’s Summit, MO
Martin Brooks-Former Cetera Advisors Broker-Discloses Settlement of $490K Customer Dispute-Lee’s Summit, MO 150 150 Robert Rex, Esq.

March 2018- Lee’s Summit, MO The FINRA records of Martin Earl Brooks , a stockbroker who is currently employed  by United Planners Financial Services of America , disclose a prior final customer dispute, a recent…

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  • Robert Rex, Esq.

Christopher Hickman-Former Cetera Advisors Broker-Discloses a Regulatory Event, 7 Customer Disputes -Delray Beach, FL
Christopher Hickman-Former Cetera Advisors Broker-Discloses a Regulatory Event, 7 Customer Disputes -Delray Beach, FL 150 150 Robert Rex, Esq.

May 2019- Delray Beach, FL According to publicly available records Christopher Robert Hickman. (CRD#3267599) , a stockbroker who is not currently registered, and who last was employed by Cetera Advisors , disclose a regulatory event and  seven…

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  • Robert Rex, Esq.

How to Recover Losses on Miller Energy Resources Investments
How to Recover Losses on Miller Energy Resources Investments 150 150 Robert Rex, Esq.

OCTOBER 2017 If you suffered losses as a result of following your broker’s recommendation to invest in Miller Energy Resources, contact us to find out how you may be able…

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