• Robert Rex, Esq.

Curt L. Howard-Former Edward Jones Broker-Subject of $1M Customer Suit- Sapulpa, OK
Curt L. Howard-Former Edward Jones Broker-Subject of $1M Customer Suit- Sapulpa, OK 150 150 Robert Rex, Esq.

Curt Howard Investigation November 2021-Sapulpa, OK According to publicly available records Curtis Lee Howard ,  a   stockbroker who formerly worked for Edward Jones and who  is currently registered with Level Four Financial,…

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Clyde Jensen -Former TD Private Client Wealth Broker-Discloses Pending Regulatory Event- Tampa, FL
Clyde Jensen -Former TD Private Client Wealth Broker-Discloses Pending Regulatory Event- Tampa, FL 150 150 ER

August 2021 – Tampa, FL  According to publicly available records , Clyde Anthony Jensen, a former broker  with TD Private Client Wealth and Ameriprise disclose a pending regulatory event involving being named as…

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  • Robert Rex, Esq.

Spenser Sullivant- Former Waddell & Reed Broker-Suspended for 18 Months -St. Louis, MO
Spenser Sullivant- Former Waddell & Reed Broker-Suspended for 18 Months -St. Louis, MO 150 150 Robert Rex, Esq.

December 2020-St. Louis, MO According to publicly available records of Spenser William Sullivant (CRD#6524062) ,  a  former stockbroker who is currently unregistered who worked for Waddell & Reed,  discloses a regulatory…

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  • Robert Rex, Esq.

Craig A. Foreman-Edward Jones Broker-Discloses Pending Customer Dispute-Odessa, TX
Craig A. Foreman-Edward Jones Broker-Discloses Pending Customer Dispute-Odessa, TX 150 150 Robert Rex, Esq.

June 2020 -Odessa, TX The FINRA records of Craig Alan Foreman  , a stockbroker registered with Edward Jones disclose a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that…

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  • Robert Rex, Esq.

Jason Hudson-Edward Jones Broker-Discloses Customer Dispute-Amarillo, TX
Jason Hudson-Edward Jones Broker-Discloses Customer Dispute-Amarillo, TX 150 150 Robert Rex, Esq.

May 2020-Amarillo, TX According to publicly available records Jason D. Hudson (CRD#6411443) ,  a stockbroker with Edward Jones discloses a customer dispute which alleges undue influence. The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Cecil Allen Ross-Former LPL Financial Broker-Discloses Regulatory Event and Customer Dispute-San Angelo, TX
Cecil Allen Ross-Former LPL Financial Broker-Discloses Regulatory Event and Customer Dispute-San Angelo, TX 150 150 Robert Rex, Esq.

April 2020-San Angelo, TX According to publicly available records of Cecil Allen Ross (CRD#2391047) ,  a  former stockbroker who last worked for LPL Financial,  discloses  a regulatory event and a customer…

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  • Robert Rex, Esq.

Jack Maloney III-Former Edward Jones Broker-Subject of Customer Suit Over FireEye Inc.-Morristown/Johnson City, TN
Jack Maloney III-Former Edward Jones Broker-Subject of Customer Suit Over FireEye Inc.-Morristown/Johnson City, TN 150 150 Robert Rex, Esq.

May 2019- Morristown/Johnson City , Tennessee The FINRA records of John J. Maloney III (Jack Maloney)  , a stock broker who is employed by Woodbury Financial Services , disclose  a pending customer dispute, 4 prior…

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  • Robert Rex, Esq.

Terry D. Eskind-Edward Jones Broker-Discloses Settlement of Customer Dispute-Conover, N. Carolina
Terry D. Eskind-Edward Jones Broker-Discloses Settlement of Customer Dispute-Conover, N. Carolina 150 150 Robert Rex, Esq.

May 2018- Conover, N. Carolina According to FINRA records,  Terry Dewayne Eskind ,  a stock broker who  is currently employed by Edward Jones , discloses a recent settlement of a customer complaint. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Arshad Hussain-Former NEXT Financial Broker-Discharged by NEXT Financial for Improper Trading-Jasper, Alabama
Arshad Hussain-Former NEXT Financial Broker-Discharged by NEXT Financial for Improper Trading-Jasper, Alabama 150 150 Robert Rex, Esq.

April 2018 -Jasper, Alabama According to FINRA records, Arshad Hussain ,  a currently unregistered  stockbroker who formerly was employed by NEXT Financial Group, disclose 3 prior customer disputes, two terminations from employment and…

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  • Robert Rex, Esq.

David Lancaster-Former Edward Jones Broker-Subject of Investigation for Unauthorized Trading-Wagoner, OK
David Lancaster-Former Edward Jones Broker-Subject of Investigation for Unauthorized Trading-Wagoner, OK 150 150 Robert Rex, Esq.

July 2019 -Wagoner, OK According to FINRA records, William David Lancaster ,  a  stockbroker who formerly was employed by Edward Jones, disclose a prior regulatory investigation, a prior customer dispute, a  and…

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