• Robert Rex, Esq.

James Kearney-Former Raymond James Broker-Discharged for Trading Without Permission-Houston, TX
James Kearney-Former Raymond James Broker-Discharged for Trading Without Permission-Houston, TX 150 150 Robert Rex, Esq.

April 2020-Houston, TX According to publicly available records of James Joseph Kearney (CRD#265734) ,  a  former stockbroker who last worked for Raymond, James & Associates,  discloses  a regulatory event,  3 customer…

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  • Robert Rex, Esq.

Linan Abrego-Former Merrill Lynch Broker-Barred from FINRA-Misappropriation of Client Funds- McAllen, TX
Linan Abrego-Former Merrill Lynch Broker-Barred from FINRA-Misappropriation of Client Funds- McAllen, TX 150 150 Robert Rex, Esq.

April 2020- McAllen, TX The FINRA records of Ma Rosa Linan Abrego, a broker previously employed  by  Merrill Lynch, Pierce, Fenner & Smith, Incorporated disclose a regulatory event resulting in a…

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  • Robert Rex, Esq.

Donald Teboe- Former Cantella Broker- Barred from Securities Industry- Clinton, MI
Donald Teboe- Former Cantella Broker- Barred from Securities Industry- Clinton, MI 150 150 Robert Rex, Esq.

April 2020- Clinton, MI The FINRA records of Donald Teboe, a broker previously employed  by  Cantella & Co., Inc. , disclose  a regulatory event resulting in his bar from the securities industry. The Financial…

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  • Robert Rex, Esq.

Stock Market Losses? –How to Recover Investment Losses Resulting From the COVID 19 Pandemic
Stock Market Losses? –How to Recover Investment Losses Resulting From the COVID 19 Pandemic 150 150 Robert Rex, Esq.

April 2020 Retirees and Those Anticipating Retirement In the Near Term Financial advisors are charged with a duty to make “suitable recommendations” to their customers. For those anticipating retirement in…

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  • Robert Rex, Esq.

John T. Howard-Raymond James Broker-Discloses $1.13 Million Award & Pending Customer Dispute-Birmingham, AL
John T. Howard-Raymond James Broker-Discloses $1.13 Million Award & Pending Customer Dispute-Birmingham, AL 150 150 Robert Rex, Esq.

February 2020- Birmingham, AL The FINRA records of John Troy Howard (CRD#2264121)  , a broker with Raymond James & Associates, Inc. discloses a prior arbitration award and a pending customer dispute. The Financial Industry…

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  • Robert Rex, Esq.

Investigation of FSC Securities Broker Lee Kramer -West Palm Beach, FL/Frederick, MD
Investigation of FSC Securities Broker Lee Kramer -West Palm Beach, FL/Frederick, MD 150 150 Robert Rex, Esq.

October 2020- West Palm Beach, Florida/Frederick, Maryland We are investigating FSC Securities Corporation financial advisor Lee R. Kramer. According to publicly available records, Lee R. Kramer discloses 7 prior regulatory…

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  • Robert Rex, Esq.

Rita Marie Dulya-Former Kovac Securities Broker-Discloses Pending Criminal Charges- Theft Of a Person 65 or Older-Port St. Lucie, FL
Rita Marie Dulya-Former Kovac Securities Broker-Discloses Pending Criminal Charges- Theft Of a Person 65 or Older-Port St. Lucie, FL 150 150 Robert Rex, Esq.

February 2020- Port St. Lucie, FL The FINRA records of Rita Marie Dulya  , a former stock broker who last worked for Kovack Securities, Inc. , disclose  a regulatory event resulting in a bar from the…

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  • Robert Rex, Esq.

Ramon Arturo Herrera-Former Wells Fargo Broker-Discloses Customer DIsputes Alleging Theft-Jersey City, NJ
Ramon Arturo Herrera-Former Wells Fargo Broker-Discloses Customer DIsputes Alleging Theft-Jersey City, NJ 150 150 Robert Rex, Esq.

February 2020-Jersey City, NJ According to publicly available records of Ramon Arturo Herrera (CRD#6021170) ,  a  former stockbroker who last worked for Wells Fargo Clearing Services,  discloses 2 regulatory events and…

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  • Robert Rex, Esq.

E.Kyle Davis-Former Raymond James Broker-Subject of $500K Suit Over Unit Investment Trust-Atlanta, GA
E.Kyle Davis-Former Raymond James Broker-Subject of $500K Suit Over Unit Investment Trust-Atlanta, GA 150 150 Robert Rex, Esq.

January 2020 – Atlanta, GA The FINRA records of E. Kyle Davis  , a broker with Ameriprise FInancial Services discloses 2 prior regulatory events, a pending customer dispute  and 3 prior customer disputes.…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Bill Braun formerly with National Securities Corp.
Rex Securities Law Investment Fraud Attorney Investigates Bill Braun formerly with National Securities Corp. 150 150 Robert Rex, Esq.

Last Updated: December 2023 (Boca Raton, FL) Bill Braun Investigation Summary Here’s what you need to know about Boca Raton, FL, stockbroker Bill Braun: Name: Mr. William John Braun Current…

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