• Robert Rex, Esq.

Norman Sicard-Formerly of Broker Dealer Finanical Services-Discloses Settlement Customer Claim for $450K-Orlando, FL
Norman Sicard-Formerly of Broker Dealer Finanical Services-Discloses Settlement Customer Claim for $450K-Orlando, FL 150 150 Robert Rex, Esq.

FEBRUARY 2019-Orlando, Florida The FINRA records of  Norman R. Sicard, Jr. ,  a   former stock broker who was last  employed by Broker Dealer Financial Services Corp.  disclose that he was sanctioned by…

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  • Robert Rex, Esq.

Dennis Hayes-Former Newbridge Securities Broker-Discloses Numerous Customer Suits-Charlotte, N. Carolina
Dennis Hayes-Former Newbridge Securities Broker-Discloses Numerous Customer Suits-Charlotte, N. Carolina 150 150 Robert Rex, Esq.

March 2019- Charlotte, N. Carolina According to FINRA records,  Dennis Allen Hayes ,  a stock broker who  is not currently registered and who formerly worked for Newbridge Securities Corp. , discloses a pending regulatory investigaton, 2…

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  • Robert Rex, Esq.

Tom Till-Former ProEquities Broker-Discloses Settlement of Customer Dispute Involving Alternative Investments-Friendswood, TX
Tom Till-Former ProEquities Broker-Discloses Settlement of Customer Dispute Involving Alternative Investments-Friendswood, TX 150 150 Robert Rex, Esq.

May 2018- Friendswood, TX According to FINRA records,  Thomas  “Tom” A. Till ,  a stock broker who  is not currently registered and who last was employed in the industry by ProEquities Inc. , discloses the…

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  • Robert Rex, Esq.

Bradley Freimark-Former ProEquities Broker-Subject of 25 Customer Disputes-Ostego, MN
Bradley Freimark-Former ProEquities Broker-Subject of 25 Customer Disputes-Ostego, MN 150 150 Robert Rex, Esq.

May 2018- Otsego, MN According to FINRA records,  Bradley J. Freimark ,  a stock broker who  is not currently registered and who last was employed in the industry by ProEquities Inc. , discloses 19 prior customer…

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  • Robert Rex, Esq.

Fifth Third Securities Hit With $6M Regulatory Sanction Over Variable Annuity Sales
Fifth Third Securities Hit With $6M Regulatory Sanction Over Variable Annuity Sales 150 150 Robert Rex, Esq.

May 2018 According to a FINRA News Release,  Fifth Third Securities was fined $4 million and required to pay $2 million in restitution for failing to appropriately consider and accurately describe the…

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  • Robert Rex, Esq.

David J. Schmerber-Former LPL Financial Broker-Settles Dispute Over Unsuitable Investments-Centerville, OH
David J. Schmerber-Former LPL Financial Broker-Settles Dispute Over Unsuitable Investments-Centerville, OH 150 150 Robert Rex, Esq.

May 2018- Centerville, OH According to FINRA records, David Joseph Schmerber,  a  stockbroker who was  formerly employed by LPL Financial Services, disclose  the recent settlement of a customer dispute. 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.

Windsor Street Capital (f/k/a Meyers Associates) Has Numerous Regulatory Events
Windsor Street Capital (f/k/a Meyers Associates) Has Numerous Regulatory Events 150 150 Robert Rex, Esq.

May 2018 —According to FINRA records,  stock brokerage firm Windsor Street Capital LP (formerly known as Meyers Associates),  discloses 3 pending regulatory events, 20 regulatory events that are final and 12 final arbitrations. The…

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  • Robert Rex, Esq.

Dexter Thomas Litigation Update-Former National Planning Corp. Broker-Dallas, TX
Dexter Thomas Litigation Update-Former National Planning Corp. Broker-Dallas, TX 150 150 Robert Rex, Esq.

May 2019 Litigation UPDATE–Follow this link for the latest on the Dexter Thomas litigation.  If you made a claim for losses that was denied by Mr. Thomas’ former employer, call…

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  • Robert Rex, Esq.

Losses on Triloma Funds ? Options for Recovery.
Losses on Triloma Funds ? Options for Recovery. 150 150 Robert Rex, Esq.

April 2018 Investors who have suffered losses on investments in the Triloma EIG Energy Income Fund or the Triloma Energy Income Fund  EIG Term 1, may be  able to recover…

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