• Robert Rex, Esq.

Travis Hughes of Hughes Financial Group-Discloses Numerous Customer Suits-El Paso, TX
Travis Hughes of Hughes Financial Group-Discloses Numerous Customer Suits-El Paso, TX 150 150 Robert Rex, Esq.

  Link to March 2024 UPDATE January 2019-El Paso, Texas According to publicly available records   Travis Jerome Hughes , a  stockbroker who is currently registered with Cetera Advisors  disclose a currently pending customer…

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  • Robert Rex, Esq.

Ian Greenblatt-Capitol Securities Management Broker-Discloses Regulatory Suspension and Settlement of Customer Dispute-Melville, NY
Ian Greenblatt-Capitol Securities Management Broker-Discloses Regulatory Suspension and Settlement of Customer Dispute-Melville, NY 150 150 Robert Rex, Esq.

December 2018-Melville, New York According to publicly available records   Ian Greenblatt (aka Eric Green)  , a  stockbroker who is currently registered with Capitol Securities Management Inc.  disclose a recent regulatory suspension & fine…

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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.

Wesley Perkins-W&P Perkins Investments-Charged With Cherry-Picking Trades-Lafayette, LA
Wesley Perkins-W&P Perkins Investments-Charged With Cherry-Picking Trades-Lafayette, LA 150 150 Robert Rex, Esq.

September 2021- Lafayette, LA The FINRA records of  Wesley Kyle Perkins ,  a  former stock broker who is not currently registered and who was last employed by Purshe Kaplan Sterling Investments ,  disclose  that he is…

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  • Robert Rex, Esq.

David Colflesh-Former NYLife Securities Broker-Subject of Multiple Customer Suits Over Mutual Funds-Tarkio, MO
David Colflesh-Former NYLife Securities Broker-Subject of Multiple Customer Suits Over Mutual Funds-Tarkio, MO 150 150 Robert Rex, Esq.

October 2018- Tarkio, Missouri The FINRA records of  David R. Colflesh ,  a  former stock broker who is not currently registered and who was last employed by NYLife Securities ,  disclose  a regulatory suspension and 18 prior…

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  • Robert Rex, Esq.

J. Gordon Cloutier, Jr.-Former Wells Fargo Broker-Barred From Securities Industry-Frisco, TX
J. Gordon Cloutier, Jr.-Former Wells Fargo Broker-Barred From Securities Industry-Frisco, TX 150 150 Robert Rex, Esq.

October 2018-Frisco, Texas According to publicly available records J. Gordon Cloutier, Jr.   ,  a  former stockbroker who was last registered with Wells Fargo Advisors disclose two regulatory events, a prior customer dispute and…

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  • Robert Rex, Esq.

How to Recover Losses on Behavioral Recognition Systems (BRS Labs) now known as Giant Gray-Houston, TX
How to Recover Losses on Behavioral Recognition Systems (BRS Labs) now known as Giant Gray-Houston, TX 150 150 Robert Rex, Esq.

October 2018- The SEC has charged Houston based Behavioral Recognition Systems (now known as Giant Gray) and its CEO Ray C. Davis with soliciting over $28 million from investors and…

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  • Robert Rex, Esq.

Tamara Steele- Former Comprehensive Asset Management and Servicing Broker-Named in SEC Suit Over Behavioral Recognition Systems-Pendleton, Indiana
Tamara Steele- Former Comprehensive Asset Management and Servicing Broker-Named in SEC Suit Over Behavioral Recognition Systems-Pendleton, Indiana 150 150 Robert Rex, Esq.

October 2018- Pendleton, Indiana According to publicly available records Tamara R. Steele   (CRD#3227494) ,  a  stockbroker who was last registered with Comprehensive Asset Management and Servicing (CAMAS)  a/k/a Aurora Private Wealth or…

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  • Robert Rex, Esq.

Gary Lee Miller-Former LPL Financial Broker-Discloses Customer Dispute Involving Annuities- Eau Claire, WI
Gary Lee Miller-Former LPL Financial Broker-Discloses Customer Dispute Involving Annuities- Eau Claire, WI 150 150 Robert Rex, Esq.

October 2018 – Eau Claire, WI According to publicly available records Gary Lee Miller   (CRD#2669776) ,  a  former stockbroker who was last employed by LPL Financial ,  disclose a settled customer dispute. The Financial Industry…

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  • Robert Rex, Esq.

Holly Maurer- Corecap Investments Broker-Discloses Settlement of Several Customer Disputes-Southfield, MI
Holly Maurer- Corecap Investments Broker-Discloses Settlement of Several Customer Disputes-Southfield, MI 150 150 Robert Rex, Esq.

October 2017 – Southfield, MI According to publicly available records Holly M. Maurer  (CRD#2764991) , a  stockbroker who is registered with Corecap Investments , disclose 5 prior  customer disputes. The Financial Industry Regulatory Authority (FINRA) is…

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