• Robert Rex, Esq.

Christopher Anthony-Former Rhodes Securities Broker-Subject of $2M Customer Suit-Arlington, TX
Christopher Anthony-Former Rhodes Securities Broker-Subject of $2M Customer Suit-Arlington, TX 150 150 Robert Rex, Esq.

October 2017-Arlington, Texas The FINRA records of  Christopher P. Anthony, (CRD #1157930) a  stockbroker who is not currently  registered and who was last employed by  Rhodes Securities, Inc. , disclose a currently pending customer dispute, a prior…

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  • Robert Rex, Esq.

William Merriam IV – Former Merrill Lynch Broker- Barred from Securities Industry- Jacksonville, FL
William Merriam IV – Former Merrill Lynch Broker- Barred from Securities Industry- Jacksonville, FL 150 150 Robert Rex, Esq.

October 2017 – Jacksonville, FL According to publicly available records William  H. Merriam IV, (CRD#5222110) , a  former stockbroker who was last employed by Merrill Lynch , disclose  a prior regulatory event and a termination…

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  • Robert Rex, Esq.

Wedbush Securities Discloses Over 100 Regulatory Violations
Wedbush Securities Discloses Over 100 Regulatory Violations 150 150 Robert Rex, Esq.

NOVEMBER 2019 UPDATE–Current FINRA records for Wedbush Securities disclose 109 regulatory events. In September 2019 FINRA censured Wedbush and ordered the company to disgorge nearly $2 million to resolve allegations…

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  • Robert Rex, Esq.

Tye Williams-Former NEXT Financial Broker-Subject of $1M Customer Dispute-Frisco, TX
Tye Williams-Former NEXT Financial Broker-Subject of $1M Customer Dispute-Frisco, TX 150 150 Robert Rex, Esq.

UPDATE OCTOBER 2017– Frisco, TX Former NEXT Financial Group stockbroker, Tye Williams was barred from the securities industry by FINRA for failing to cooperate with regulatory investigation alleging theft of $1M, making…

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  • Robert Rex, Esq.

Joseph Hushek-G.F. Investment Services Broker- Discloses Regulatory Event – Sarasota, FL
Joseph Hushek-G.F. Investment Services Broker- Discloses Regulatory Event – Sarasota, FL 150 150 Robert Rex, Esq.

October 2017 – Sarasota, FL According to publicly available records Daniel Joseph Hushek III (CRD#4250117) , a  stockbroker who is currently unregistered and was previously registered with G.F. Investment Services, disclose  a recent regulatory event.…

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  • Robert Rex, Esq.

Thomas H. Oliphint-Discloses Discharge from LPL Financial-San Antonio, TX
Thomas H. Oliphint-Discloses Discharge from LPL Financial-San Antonio, TX 150 150 Robert Rex, Esq.

October 2017-San Antonio, TX  We are currently investigating Thomas H. Oliphint , (CRD#1172870) ,  a  stockbroker who is not currently registered and who last was employed by LPL Financial until he was discharged for…

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  • Robert Rex, Esq.

Investigation UPDATE-Bill Hightower Indicted-Former UBS Stockbroker-Houston, TX
Investigation UPDATE-Bill Hightower Indicted-Former UBS Stockbroker-Houston, TX 150 150 Robert Rex, Esq.

JANUARY 2019- Houston, TX We are currently pursuing FINRA arbitration claims on behalf of investors who were victims of William Hightower. In a recently filed case on behalf of a…

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  • Robert Rex, Esq.

Bill A. Holubec-Former Royal Alliance Stockbroker-Subject of Customer Suit-San Angelo, TX
Bill A. Holubec-Former Royal Alliance Stockbroker-Subject of Customer Suit-San Angelo, TX 150 150 Robert Rex, Esq.

October 2017-San Angelo, Texas We are investigating former Royal Alliance Associates stockbroker Bill A. Holubec. Publicly available records of Bill A. Holubec, (CRD# 1304064) , disclose that a Royal Alliance customer has filed…

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  • Robert Rex, Esq.

James V. Marino-Former Edward Jones Broker- Faces Allegations of Theft from Customer-Pompano Beach, FL
James V. Marino-Former Edward Jones Broker- Faces Allegations of Theft from Customer-Pompano Beach, FL 150 150 Robert Rex, Esq.

OCTOBER 2017 James V. Marino , a former stockbroker in Pompano Beach, FL, who was last employed by Edward Jones ,  was recently barred permanently from the securities industry by FINRA. …

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  • Robert Rex, Esq.

William J. Paynter, Jr.-Wells Fargo Broker Discloses Multiple Customer Complaints-Scottsdale, AZ
William J. Paynter, Jr.-Wells Fargo Broker Discloses Multiple Customer Complaints-Scottsdale, AZ 150 150 Robert Rex, Esq.

December 2018-Scottsdale, AZ William J. (“Bill John”) Paynter, Jr., (CRD#2835535) ,  a  stockbroker who is currently employed by Wells Fargo is the subject of a  currently pending customer dispute. He discloses the settlement…

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