• Robert Rex, Esq.

Jimmy Moscoso-Former Lincoln Financial Advisor Broker-Barred From Securities Industry-Boca Raton, FL
Jimmy Moscoso-Former Lincoln Financial Advisor Broker-Barred From Securities Industry-Boca Raton, FL 150 150 Robert Rex, Esq.

February 2018-Boca Raton, FL According to publicly available records Jimmy Oswald Moscoso  , (CRD# 2912265) ,  a   former stockbroker who last worked for Lincoln Financial Advisors,  discloses that he was recently barred from the…

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  • Robert Rex, Esq.

Danielle McAniff-Former Edward Jones Broker-Discloses Regulatory Sanction-Albuquerque, N. Mexico
Danielle McAniff-Former Edward Jones Broker-Discloses Regulatory Sanction-Albuquerque, N. Mexico 150 150 Robert Rex, Esq.

February 2018-Albuquerque, New Mexico The FINRA records of Danielle Jean McAniff, a broker currently employed by NEXT Financial Group, disclose that she was recently suspended for two months and fined…

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  • Robert Rex, Esq.

Harry Datys-Westpark Capital Stockbroker-Discloses Regulatory Issues and Customer Complaints- Boca Raton, FL
Harry Datys-Westpark Capital Stockbroker-Discloses Regulatory Issues and Customer Complaints- Boca Raton, FL 150 150 Robert Rex, Esq.

March 2019- Warwick, New York/Boca Raton, FL The FINRA records of  Harry Seth Datys,  a  stockbroker who is currently employed by Westpark Capital , disclose three regulatory events, 3 pending customer disputes, 13 prior…

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  • Robert Rex, Esq.

Kenneth B. Neuner-Former VSR Financial Services Broker-Accused of Unauthorized Trading-Barred From Securities Industry -Plano, TX
Kenneth B. Neuner-Former VSR Financial Services Broker-Accused of Unauthorized Trading-Barred From Securities Industry -Plano, TX 150 150 Robert Rex, Esq.

February 2018-Dallas, Texas The FINRA records of  Kenneth B. Neuner ,  a  stockbroker who was formerly  employed by Summit Brokerage Services,  VSR Financial Services and TCFG Wealth Management disclose that he was recently barred from…

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  • Robert Rex, Esq.

Investigation of NEXT Financial Group RE: Misappropriation of Customer Funds-Houston, TX
Investigation of NEXT Financial Group RE: Misappropriation of Customer Funds-Houston, TX 150 150 Robert Rex, Esq.

May 2019 UPDATE NEXT TO BE PURCHASED BY ATRIA | SANCTIONED OVER MUTUAL FUND  SHARES—In January 2019 NEXT Financial Group announced plans to be purchased by private equity backed Atria…

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  • Robert Rex, Esq.

Larry M. Boggs-Former Ameriprise Broker-Sanctioned for Overtrading Accounts of Elderly Customers-Dallas, TX
Larry M. Boggs-Former Ameriprise Broker-Sanctioned for Overtrading Accounts of Elderly Customers-Dallas, TX 150 150 Robert Rex, Esq.

November 2019-Dallas, TX Larry Martin Boggs,  a  former stockbroker who worked for Wedbush Securities and Ameriprise Financial Services in Dallas was permanently barred from the securities industry by FINRA in…

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  • Robert Rex, Esq.

Thomas W. O’Brien-Raymond James Broker-Subject of $5M Customer Dispute-Shreveport, LA
Thomas W. O’Brien-Raymond James Broker-Subject of $5M Customer Dispute-Shreveport, LA 150 150 Robert Rex, Esq.

February 2018-Shreveport, LA The FINRA records of  Thomas W. O’Brien,  a  stockbroker who is currently employed by Raymond James & Assoc. disclose 2 pending customer disputes and 2 prior final customer disputes.…

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