Failure to Supervise

  • Robert Rex, Esq.

Richard Reynolds-Former SW Financial / Worden Capital Broker-Discloses 4 regulatory events, 13 customer disputes and a termination-Garden City, NY
Richard Reynolds-Former SW Financial / Worden Capital Broker-Discloses 4 regulatory events, 13 customer disputes and a termination-Garden City, NY 150 150 Robert Rex, Esq.

April 2025- Garden City, NY / Melbourne, FL  According to publicly available records Richard Foerster Reynolds (CRD#2162706), a currently unregistered stockbroker who last worked for SW Financial and Worden Capital…

read more
  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Centaurus Financial Broker Bill Burks
Rex Securities Law Investment Fraud Attorney Investigates Centaurus Financial Broker Bill Burks 150 150 Robert Rex, Esq.

Last Updated: April 2025 (Flower Mound, TX) Bill Burks Investigation Summary Here’s what you need to know about Flower Mound, TX, stockbroker Bill Burks: Name: Mr. William Charles Burks, II…

read more
  • ER

Rex Securities Law Investment Fraud Attorney Investigates Mark Williams a Former Broker with Kingswood Capital Partners / Financial Gravity
Rex Securities Law Investment Fraud Attorney Investigates Mark Williams a Former Broker with Kingswood Capital Partners / Financial Gravity 150 150 ER

Mark J. Williams Investigation March 2025-Carmel by the Sea, CA/ Lakeway, TX/ Stockbridge, GA According to publicly available records Mark John Williams ,  a former broker who last was registered…

read more
  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates McNally Financial Services Broker Mark Kemp
Rex Securities Law Investment Fraud Attorney Investigates McNally Financial Services Broker Mark Kemp 150 150 Robert Rex, Esq.

Last Updated: March 2025 (Corpus Christi, Texas) Mark Kemp Investigation Summary Here’s what you need to know about Corpus Christi, Texas, stockbroker Mark Kemp: Name: Mark Alan Kemp Current Employer:…

read more
  • Robert Rex, Esq.

Mario Rivero Investigation -Former Wells Fargo and LPL Financial Broker-Red Bank, New Jersey
Mario Rivero Investigation -Former Wells Fargo and LPL Financial Broker-Red Bank, New Jersey 150 150 Robert Rex, Esq.

Mario E. Rivero Investigation February 2025-Red Bank, New Jersey We are investigating former Wells Fargo & LPL Financial advisor Mario E. Rivero, Jr. According to FINRA records Mario Rivero discloses a recent…

read more
  • ER

Rex Securities Law Investment Fraud Attorney Investigates Pamela Espinosa a broker with Kestra Investment Services
Rex Securities Law Investment Fraud Attorney Investigates Pamela Espinosa a broker with Kestra Investment Services 150 150 ER

Last Updated: February 2025 (Albuquerque, New Mexico) Pamela Espinosa Investigation Summary Here’s what you need to know about Albuquerque, NM, stockbroker Pamela Espinosa: Name: Ms. Pamela S. Espinosa Current Employer:…

read more
  • Robert Rex, Esq.

Webull Financial Fined $3 Million – Failure to Exercise Due Diligence When Approving Option Traders
Webull Financial Fined $3 Million – Failure to Exercise Due Diligence When Approving Option Traders 150 150 Robert Rex, Esq.

Webull Financial LLC Investigation January  2025 – New York According to publicly obtained regulatory records, Webull Financial LLC , a FINRA registered broker dealer that offers low cost, self directed trading…

read more
  • ER

Rex Securities Law Investment Fraud Attorney Investigates Dean Nowak formerly with Newbridge Securities
Rex Securities Law Investment Fraud Attorney Investigates Dean Nowak formerly with Newbridge Securities 150 150 ER

Last Updated: December 2024 (Winter Park, FL) Dean Nowak Investigation Summary Here’s what you need to know about Winter Park, FL, stockbroker Dean Nowak: Name: Mr. Dean Robert Nowak Current…

read more
  • ER

Dennis “Denny” Haywood- Former Crown Capital Broker-Discloses 10 Prior Customer Disputes & Pending Customer Disputes- Land O’Lakes, FL
Dennis “Denny” Haywood- Former Crown Capital Broker-Discloses 10 Prior Customer Disputes & Pending Customer Disputes- Land O’Lakes, FL 150 150 ER

Denny Haywood Investigation September 2024- Land O’ Lakes, FL The FINRA records of  Dennis “Denny” Haywood , a stockbroker previously with  Crown Capital Securities, Inc. broker discloses a 10 prior customer…

read more
Enter your
text here

You cannot copy content of this page