Failure to Cooperate with Regulatory Investigation Archives

Robert Rex, Esq.
July 24, 2018

Clarence McGill-Former GWN Securities Broker-Barred From Securities Industry by Regulator-Frisco, TX

Clarence McGill-Former GWN Securities Broker-Barred From Securities Industry by Regulator-Frisco, TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g July 24, 2018 July 24, 2018

July 2018- Frisco, Texas The FINRA records of Clarence L. McGill , a former stock broker who was most recently employed by GWN Securities , disclose that he was recently barred from the securities industry. The Financial Industry…

Robert Rex, Esq.
May 3, 2018

Charlotte Guin-Former J.P. Morgan Securities Broker-Subject of $10M+ Lawsuit-Huffman, Texas

Charlotte Guin-Former J.P. Morgan Securities Broker-Subject of $10M+ Lawsuit-Huffman, Texas https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g May 3, 2018 May 3, 2018

May 2018- Huffman, Texas According to FINRA records, Charlotte A. Guin, a former stockbroker who was last employed by J.P. Morgan Securities , disclose a prior regulatory event a termination from employment…

Robert Rex, Esq.
April 23, 2018

Masood (Mike) Azad-Former First Allied Broker-Sanctioned by Securities Regulator-League City, TX

Masood (Mike) Azad-Former First Allied Broker-Sanctioned by Securities Regulator-League City, TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g April 23, 2018 April 23, 2018

April 2018 -League City, TX According to FINRA records, Masood (Mike) Husain Azad, a former stockbroker who was last employed by First Allied Securities, disclose a prior regulatory event and a…

Robert Rex, Esq.
April 17, 2018

Buckman Buckman Reid Broker Ron Ison Barred From Securities Industry

Buckman Buckman Reid Broker Ron Ison Barred From Securities Industry https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g April 17, 2018 April 17, 2018

April 2018- Little Silver, New Jersey Ron Jason Ison , a former stockbroker who last was employed by Buckman, Buckman & Reid, was permanently barred from the securities industry by…

Robert Rex, Esq.
April 9, 2018

Jose M. Canales-Former Lincoln Financial Broker/Agent-Barred From Securities Industry-El Paso, TX

Jose M. Canales-Former Lincoln Financial Broker/Agent-Barred From Securities Industry-El Paso, TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g April 9, 2018 April 9, 2018

April 2018- El Paso, Texas According to FINRA records, Jose M. Canales , a currently unregistered broker who last worked for Lincoln Financial Securities Corp. , discloses a prior final regulatory event, a…

Robert Rex, Esq.
February 26, 2018

Kimberly Kitts-Former Royal Alliance Broker-Subject of Customer Dispute Alleging Misappropriation of Funds-Palmer, MA

Kimberly Kitts-Former Royal Alliance Broker-Subject of Customer Dispute Alleging Misappropriation of Funds-Palmer, MA https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g February 26, 2018 February 26, 2018

February 2018-Palmer, Massachusetts Kimberly Pine Kitts was recently discharged from Royal Alliance Associates where she had been employed since 4/2004 after receiving notice from a customer’s attorney alleging conversion or misappropriation…

Robert Rex, Esq.
February 6, 2018

Kenneth B. Neuner-Former VSR Financial Services Broker-Accused of Unauthorized Trading-Barred From Securities Industry -Plano, TX

Kenneth B. Neuner-Former VSR Financial Services Broker-Accused of Unauthorized Trading-Barred From Securities Industry -Plano, TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g February 6, 2018 October 4, 2023

February 2018-Dallas, Texas The FINRA records of Kenneth B. Neuner , a stockbroker who was formerly employed by Summit Brokerage Services, VSR Financial Services and TCFG Wealth Management disclose that he was recently barred from…

Robert Rex, Esq.
February 1, 2018

Charles Dixon- Former Morgan Stanley Broker-Barred From Industry-Discloses Settlement with Customer-Houston, TX

Charles Dixon- Former Morgan Stanley Broker-Barred From Industry-Discloses Settlement with Customer-Houston, TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g February 1, 2018 February 1, 2018

JANUARY 2018-Houston, TX According to publicly available records Charles Albert Dixon Jr. , a former stockbroker with Morgan Stanley was barred by FINRA from acting as a broker or otherwise associating…

Robert Rex, Esq.
January 5, 2018

Donna Boyd (Chen)-Former Sunbelt Securities Broker-Named In SEC Complaint-Houston, TX

Donna Boyd (Chen)-Former Sunbelt Securities Broker-Named In SEC Complaint-Houston, TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g January 5, 2018 January 5, 2018

January 2018-Houston, Texas Donna Boyd (formerly Donna Chen) , a former stockbroker who last worked for Sunbelt Securities was named in a complaint filed by the Securities and Exchange Commission in…

Robert Rex, Esq.
January 5, 2018

James Tao-Former Sunbelt Securities Stockbroker-Named in SEC Complaint-Houston, TX

James Tao-Former Sunbelt Securities Stockbroker-Named in SEC Complaint-Houston, TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g January 5, 2018 January 5, 2018

January 2018-Houston, Texas James Tao, a former stockbroker who last worked for Sunbelt Securities was named in a complaint filed by the Securities and Exchange Commission in December 2017, which…

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