Failure to Cooperate with Regulatory Investigation

  • Robert Rex, Esq.

Jay Weiser-Former Despain Financial Broker-Barred From Securities Industry-Collinsville, IL
Jay Weiser-Former Despain Financial Broker-Barred From Securities Industry-Collinsville, IL 150 150 Robert Rex, Esq.

February  2019 – Collinsville, IL According to public records, Jay R. Weiser  (CRD#1511042)  a  former stockbroker who was previously employed by Despain Financial Corporation,  discloses a regulatory event, a pending customer dispute and…

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  • Robert Rex, Esq.

Jon Pariser-Former Independent Financial Group Broker-Subject of $2.7M Customer Suits Over Note Sales-Pacific Grove, CA
Jon Pariser-Former Independent Financial Group Broker-Subject of $2.7M Customer Suits Over Note Sales-Pacific Grove, CA 150 150 Robert Rex, Esq.

December 2018-Pacific Grove, CA According to publicly available records    Jon R. Pariser , a  former stockbroker who was last registered with Independent Financial Group , and before that SWS Financial Services,  disclose…

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  • Robert Rex, Esq.

Matthew Singer- Former Morgan Stanley Broker-Customer Suits Over Option Investments- Aventura, FL
Matthew Singer- Former Morgan Stanley Broker-Customer Suits Over Option Investments- Aventura, FL 150 150 Robert Rex, Esq.

January 2020 – Aventura, FL The FINRA records of  Matthew Singer,  a  broker previously employed by Morgan Stanley Smith Barney disclose 3 prior customer disputes and a regulatory event. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

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 150 150 Robert Rex, Esq.

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…

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  • Robert Rex, Esq.

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 150 150 Robert Rex, Esq.

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…

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  • Robert Rex, Esq.

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 150 150 Robert Rex, Esq.

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…

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  • Robert Rex, Esq.

Buckman Buckman Reid Broker Ron Ison Barred From Securities Industry
Buckman Buckman Reid Broker Ron Ison Barred From Securities Industry 150 150 Robert Rex, Esq.

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…

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  • Robert Rex, Esq.

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 150 150 Robert Rex, Esq.

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…

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  • Robert Rex, Esq.

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 150 150 Robert Rex, Esq.

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…

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