• Robert Rex, Esq.

Mason W. Gann-Former Berthel Fisher Broker-Subject of Customer Disputes -Sanctioned by Regulator-Dallas, TX
Mason W. Gann-Former Berthel Fisher Broker-Subject of Customer Disputes -Sanctioned by Regulator-Dallas, TX 150 150 Robert Rex, Esq.

Mason Gann Investigation September  2022- Dallas, TX The FINRA records of Mason W. Gann, a stockbroker who is not currently registered with any broker dealer and who was last employed…

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  • Robert Rex, Esq.

Raymond Pirrello, Jr.-Former Garden State Securities Stockbroker-Subject of Churning Suits-Sparta, NJ
Raymond Pirrello, Jr.-Former Garden State Securities Stockbroker-Subject of Churning Suits-Sparta, NJ 150 150 Robert Rex, Esq.

Updated November  2018-Sparta, New Jersey The FINRA records of Raymond J. PIrrello, Jr. , a stockbroker who was last employed by Garden State Securities, disclose 2 final regulatory events , 1…

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  • Robert Rex, Esq.

Steven E. Love-Parkland Securities Broker-Subject of Arbitration Claim-Terre Haute, Indiana
Steven E. Love-Parkland Securities Broker-Subject of Arbitration Claim-Terre Haute, Indiana 150 150 Robert Rex, Esq.

March 2018-Terre Haute, Indiana We recently filed FINRA Case #18-1047 on behalf of an 81 year old widow from Terre Haute, Indiana, who alleges that Parkland Securities (formerly Sammons Securities)…

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  • Robert Rex, Esq.

Gabe Block-Former First Standard Financial/NSC/Oppenheimer Broker-Fined $750K by NJ Regulators-Rumson , NJ
Gabe Block-Former First Standard Financial/NSC/Oppenheimer Broker-Fined $750K by NJ Regulators-Rumson , NJ 150 150 Robert Rex, Esq.

May 2019– Rumson, NJ The FINRA records of Gabriel (Gabe)  Block, a former stockbroker who was last employed by First Standard Financial Co., disclose 4  final regulatory events,3 currently pending…

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  • Robert Rex, Esq.

Brandon Stimpson-Former Allegis Investment Broker-Ordered to Pay Customer $400,000 For Option Trading-Logan, Utah
Brandon Stimpson-Former Allegis Investment Broker-Ordered to Pay Customer $400,000 For Option Trading-Logan, Utah 150 150 Robert Rex, Esq.

March 2018-Logan, Utah An all public FINRA arbitration panel recently orderedand former Allegis broker Brandon C. Stimpson to pay a former client over $400,000 for losses suffered on the buying…

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  • Robert Rex, Esq.

Jerry Raines -Former Signal Securities Broker-Customers Sue For $4M Losses on Woodbridge Funds-Kilgore,TX
Jerry Raines -Former Signal Securities Broker-Customers Sue For $4M Losses on Woodbridge Funds-Kilgore,TX 150 150 Robert Rex, Esq.

May 2018- Kilgore, TX The FINRA records of  Jerry D. Raines,  a  previously registered stock broker who was last employed by HD Vest Investment Services and Signal Securities,  disclose  eleven  pending customer disputes involving the allegedly…

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  • Robert Rex, Esq.

Donna Barnard-Former Signal Securities Broker-Subject of $4M Woodbridge Fund Suits-Kilgore, TX
Donna Barnard-Former Signal Securities Broker-Subject of $4M Woodbridge Fund Suits-Kilgore, TX 150 150 Robert Rex, Esq.

May 2018- Kilgore, TX The FINRA records of  Donna L. Barnard ,  a  stock broker formerly employed by HD Vest Investment Services and Signal Securities,  disclose  10  pending customer disputes involving the allegedly fraudulent Woodbridge Mortgage Investment…

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  • Robert Rex, Esq.

Bob Wamhoff-Former VSR Financial Services Broker-Discloses Suits Involving REIT Investments-St. Charles, MO.
Bob Wamhoff-Former VSR Financial Services Broker-Discloses Suits Involving REIT Investments-St. Charles, MO. 150 150 Robert Rex, Esq.

February 2018-Saint Charles, MO The FINRA records of  Robert (Bob) Wamhoff,  a  stockbroker who was formerly employed by  VSR Financial Services  disclose 2 currently pending and  8 prior customer disputes that are final. The Financial…

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