• Robert Rex, Esq.

Bill Riley-Former Silver Oaks Securities Broker-Subject of $600K Customer Suit-Ft. Worth, TX
Bill Riley-Former Silver Oaks Securities Broker-Subject of $600K Customer Suit-Ft. Worth, TX 150 150 Robert Rex, Esq.

September 2018 – Ft. Worth, Texas According to publicly available records  William E. Riley, Jr. ,  a  currently unregistered stockbroker, who was last registered with Silver Oak Securities ,  disclose a pending customer…

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  • Robert Rex, Esq.

Thomas Meier – Former Morgan Stanley Broker- Discloses 14 Customer Disputes- Miami, FL
Thomas Meier – Former Morgan Stanley Broker- Discloses 14 Customer Disputes- Miami, FL 150 150 Robert Rex, Esq.

January 2020 – Miami, FL According to publicly available records Thomas Alan Meier  (CRD#1146044) ,  a  former stockbroker who was last registered with Morgan Stanley,  disclose a Regulatory Event and 14 prior customer disputes.…

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  • Robert Rex, Esq.

Alan New-Former NY Life Broker-Subject of Multiple Suits Over Woodbridge Investments-Fort Wayne, IN
Alan New-Former NY Life Broker-Subject of Multiple Suits Over Woodbridge Investments-Fort Wayne, IN 150 150 Robert Rex, Esq.

Updated January 2019- Fort Wayne, Indiana The FINRA records of  Alan Harold New ,  a  former stock broker who is not currently registered and who was last employed by NYLife Securities ,  disclose a pending civil matter…

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  • Robert Rex, Esq.

Greg O’Brien-Former Aegis Capital Broker-Discloses Customer Disputes and Tax Liens-Boca Raton, FL
Greg O’Brien-Former Aegis Capital Broker-Discloses Customer Disputes and Tax Liens-Boca Raton, FL 150 150 Robert Rex, Esq.

January 2020-Boca Raton, FL The FINRA records of  Gregory Spencer O’Brien,  a  stockbroker who was formerly employed by Aegis Capital Corp. disclose 2 pending customer disputes , 3 prior final customer disputes and…

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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.

Michael Polyakov- Westpark Capital Broker-Discloses Customer Disputes – Boca Raton, FL
Michael Polyakov- Westpark Capital Broker-Discloses Customer Disputes – Boca Raton, FL 150 150 Robert Rex, Esq.

March 2018 – Boca Raton, FL According to publicly available records Michael Polyakov, (CRD# 734810) ,  a  stockbroker who is currently employed by Westpark Capital ,  disclose 3 prior settled customer disputes . The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Daniel Gamache- Former UBS Broker- Discloses 2 Customer Disputes- Denver, CO
Daniel Gamache- Former UBS Broker- Discloses 2 Customer Disputes- Denver, CO 150 150 Robert Rex, Esq.

August 2018- Denver, CO The FINRA records of Daniel Gamache,  a stockbroker who is not currently employed and who last worked for UBS Financial Services in Denver, CO, discloses two pending…

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  • Robert Rex, Esq.

Trustmont Financial Group Ordered to Pay Customer $1M-Tampa, FL
Trustmont Financial Group Ordered to Pay Customer $1M-Tampa, FL 150 150 Robert Rex, Esq.

August 2018-Tampa, Florida A panel of FINRA arbitrators ordered Trustmont Financial Group to pay a former customer more than one million dollars for violations of Florida securities laws, breach of…

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  • Robert Rex, Esq.

Eric Stuckey-Cornerstone Private Client Group-Discloses Customer Suits-Suwanee, GA
Eric Stuckey-Cornerstone Private Client Group-Discloses Customer Suits-Suwanee, GA 150 150 Robert Rex, Esq.

August 2018-Suwanee, Georgia The FINRA records of  Eric Todd Stuckey ,  a  stockbroker who formerly worked for  Invest Financial  disclose a pending customer suit,  4 prior customer disputes and 2 currently outstanding judgment/liens. The…

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