Failure to Supervise Archives

Robert Rex, Esq.
March 7, 2018

Bill Downing-Former J.W. Cole Financial Broker-Discloses Customer Dispute & Bar From Securities Industry-Wimberley, Texas

Bill Downing-Former J.W. Cole Financial Broker-Discloses Customer Dispute & Bar From Securities Industry-Wimberley, Texas https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g March 7, 2018 March 7, 2018

February 2019-Wimberley, Texas The FINRA records of William (Bill) Glenn Downing , a former stock broker who was last employed by Coastal Equities Inc. disclose a prior regulator event, a pending customer dispute,…

Robert Rex, Esq.
March 7, 2018

Gil Sharon-Maxim Group Stockbroker-Subject of $200K Customer Dispute Over Excessive Trading-Cleveland, Ohio

Gil Sharon-Maxim Group Stockbroker-Subject of $200K Customer Dispute Over Excessive Trading-Cleveland, Ohio https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g March 7, 2018 March 7, 2018

March 2018 The FINRA records of Gil Sharon , a stock broker who is employed by Maxim Group LLC disclose a pending customer dispute and 3 prior customer disputes. The Financial Industry Regulatory…

Robert Rex, Esq.
March 6, 2018

Amadou (Andrew) Bah-Former Maxim Securities Group Broker-Barred From Industry-Subject of $200K Customer Suit-Cleveland, Ohio

Amadou (Andrew) Bah-Former Maxim Securities Group Broker-Barred From Industry-Subject of $200K Customer Suit-Cleveland, Ohio https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g March 6, 2018 March 6, 2018

March 2018 The FINRA records of Amadou Bah, a former stock broker who was last employed employed by Maxim Group LLC disclose a regulatory matter resulting in a bar from the securities industry…

Robert Rex, Esq.
March 6, 2018

Lewis (Buddy) Rogers-Raymond James Broker-Former Client Awarded Over $250K For Unsuitable MLP Investments-Dallas, TX

Lewis (Buddy) Rogers-Raymond James Broker-Former Client Awarded Over $250K For Unsuitable MLP Investments-Dallas, TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g March 6, 2018 March 6, 2018

March 2018-Dallas, Texas Lewis H. Rogers, a broker who has worked for Raymond James & Associates since 2/2013, discloses on his FINRA records that an all public FINRA arbitration panel…

Robert Rex, Esq.
March 5, 2018

Joseph L. Cotter-Former NEXT Financial Group Broker-Discloses Fine/Suspension/Termination-Charlotte, N.Carolina

Joseph L. Cotter-Former NEXT Financial Group Broker-Discloses Fine/Suspension/Termination-Charlotte, N.Carolina https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g March 5, 2018 March 5, 2018

March 2018- Charlotte, N. Carolina The FINRA records of Joseph L. Cotter , a stockbroker who is currently not registered and who was last employed by Petersen Investments disclose a recent regulatory matter resulting…

Robert Rex, Esq.
March 2, 2018

Michael J Blake-Former Ameritas Investment Corp. Broker-Disclose Numerous Customer Disputes Over Promissory Note Sales-Paradise Valley, AZ

Michael J Blake-Former Ameritas Investment Corp. Broker-Disclose Numerous Customer Disputes Over Promissory Note Sales-Paradise Valley, AZ https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g March 2, 2018 March 2, 2018

March 2018-Paradise Valley, AZ The FINRA records of Michael J. Blake , a stockbroker who is currently unregistered and who last was employed by Mid Atlantic Capital Corp. disclose 2 prior regulatory…

Robert Rex, Esq.
March 2, 2018

Walter W. Parker-Titan Securities Broker-Discloses Settlements of Customer Suits and a Regulatory Investigation-Rowlett, Texas

Walter W. Parker-Titan Securities Broker-Discloses Settlements of Customer Suits and a Regulatory Investigation-Rowlett, Texas https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g March 2, 2018 March 2, 2018

SEE THIS FOR JANUARY 2020 UPDATE APRIL 2018 UPDATE–Walt Parker suspended in connection with sale of alternative investments, assessed $7,500 fine by FINRA. Read more here. March 2018-Rowlett, Texas The…

Robert Rex, Esq.
March 2, 2018

Melvin S. Jacobs-Former Merrill Lynch Broker-Discloses Termination for Selling Unauthorized Investments-Houston, TX

Melvin S. Jacobs-Former Merrill Lynch Broker-Discloses Termination for Selling Unauthorized Investments-Houston, TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g March 2, 2018 March 2, 2018

March 2018 – Houston, TX According to publicly available records , Melvin (“Mel”) S. Jacobs , (CRD# 1361940) , a stockbroker who was previously employed by Merrill Lynch, Pierce, Fenner & Smith, disclose that he…

Robert Rex, Esq.
March 2, 2018

Barrett O. Schultz-McNally Financial Services Broker-Discloses Settlement of Customer Suits-San Antonio, TX

Barrett O. Schultz-McNally Financial Services Broker-Discloses Settlement of Customer Suits-San Antonio, TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g March 2, 2018 March 2, 2018

May 2020- San Antonio, TX According to publicly available records Barrett Oliver Schultz (aka Barrett Creed) , (CRD# 2741114) , a stockbroker who is employed by McNally Financial Services, discloses two recently settled…

Robert Rex, Esq.
March 1, 2018

Rex Securities Law Investment Fraud Attorney Investigates McNally Financial Services Corp. Broker David McNally

Rex Securities Law Investment Fraud Attorney Investigates McNally Financial Services Corp. Broker David McNally https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g March 1, 2018 January 15, 2024

Last Updated: January 2024 (San Antonio, Texas) David McNally Investigation Summary Here’s what you need to know about San Antonio, TX, stockbroker David McNally: Name: Mr. David Dorn McNally Current…

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