• Robert Rex, Esq.

Damian Bell -Prior WFG Investments, Inc. Broker-Discloses Customer Disputes-Daphne, AL
Damian Bell -Prior WFG Investments, Inc. Broker-Discloses Customer Disputes-Daphne, AL 150 150 Robert Rex, Esq.

September  2017 – Daphne, AL According to publicly available records Damian M. Bell  (CRD#2348521) ,  a  stockbroker who was previously employed by WFG (Williams Financial Group) Investments, Inc. ,  disclose 2 pending and 5…

read more
  • Robert Rex, Esq.

Daniel J. Haugh-PTI Securities & Futures Broker-Discloses Customer Arbitration & Regulatory Sanction-Chicago, IL
Daniel J. Haugh-PTI Securities & Futures Broker-Discloses Customer Arbitration & Regulatory Sanction-Chicago, IL 150 150 Robert Rex, Esq.

Updated January 2019-Chicago According to publicly available records Daniel John Haugh  (CRD#2162854) ,  a  stockbroker who currently is the chief compliance officer of  PTI Securities & Futures , disclose a recent regulatory event…

read more
  • Robert Rex, Esq.

PTI Securities & Futures Sanctioned by Texas Regulators for Transferring Client Funds Based on Spam Emails-Austin, TX
PTI Securities & Futures Sanctioned by Texas Regulators for Transferring Client Funds Based on Spam Emails-Austin, TX 150 150 Robert Rex, Esq.

June 2017 -Austin, TX The Texas State Securities Board entered a disciplinary order against Chicago-based PTI Securities & Futures for transferring nearly $100,000 from a 75 year old Texan’s IRA…

read more
  • Robert Rex, Esq.

Keith Fontenot-Wells Fargo Clearing Services, Inc. Broker- Discloses 2 Customer Disputes – Lafayette, LA
Keith Fontenot-Wells Fargo Clearing Services, Inc. Broker- Discloses 2 Customer Disputes – Lafayette, LA 150 150 Robert Rex, Esq.

See this for April 2018 update.  June 2017 -Lafayette, LA According to publicly available records Keith A. Fontenot  (CRD#2296303) ,  a  stockbroker who currently is employed by Wells Fargo Advisors, disclose 2 customer…

read more
  • Robert Rex, Esq.

Todd D. Ryman -Suntrust Investment Services Broker-Discloses Customer Disputes-Atlanta, GA
Todd D. Ryman -Suntrust Investment Services Broker-Discloses Customer Disputes-Atlanta, GA 150 150 Robert Rex, Esq.

June 2017 – Atlanta, GA The FINRA records of Todd D. Ryman ,  a  stockbroker previously employed with  Raymond James & Associates, Inc.  disclose  a prior regulatory matter and 6 customer disputes. The…

read more
  • Robert Rex, Esq.

Gregg Templeton – Former Oppenheimer & Co. Broker – Discloses $6.75M Customer Dispute – NYC
Gregg Templeton – Former Oppenheimer & Co. Broker – Discloses $6.75M Customer Dispute – NYC 150 150 Robert Rex, Esq.

JUNE 2017- New York, NY According to publicly available records Gregg D. Templeton (CRD#2412775) ,  a  former stockbroker who was previously registered with Oppenheimer & Co., discloses a prior regulatory event, a currently pending…

read more
  • Robert Rex, Esq.

John  J. Gorman IV-Former Tejas Securities Group Broker-Discloses Regulatory Matter-Austin, TX
John  J. Gorman IV-Former Tejas Securities Group Broker-Discloses Regulatory Matter-Austin, TX 150 150 Robert Rex, Esq.

June 2017- Austin, TX According to publicly available records     John  J. Gorman IV  (CRD#1070636) ,  a  stockbroker who is currently unregistered disclose a currently pending regulatory matter, 3 prior regulatory events,  2…

read more
  • Robert Rex, Esq.

Matthew S. Kocsis -Cambridge Investment Research Broker-Discloses Customer Dispute-Charlotte, NC
Matthew S. Kocsis -Cambridge Investment Research Broker-Discloses Customer Dispute-Charlotte, NC 150 150 Robert Rex, Esq.

 JUNE 2017- Charlotte, NC According to publicly available records Matthew S. Kocsis, (CRD#4787057) ,  a  stockbroker who  is registered with Cambridge Investment Research discloses 2 prior customer disputes. The Financial Industry Regulatory…

read more
  • Robert Rex, Esq.

Gary Mack Bradshaw – First Dallas Securities Broker – Discloses Customer Disputes – Dallas, TX
Gary Mack Bradshaw – First Dallas Securities Broker – Discloses Customer Disputes – Dallas, TX 150 150 Robert Rex, Esq.

June 2017- Dallas, TX According to publicly available records Gary Mack Bradshaw  (CRD#1389924) ,  a  stockbroker who currently is employed by  First Dallas Securities, Inc.  disclose 3 prior customer disputes. The Financial Industry…

read more
  • Robert Rex, Esq.

Christopher S. Laws-Former BCG Securities Broker-Named in SEC Complaint-Alpharetta, GA
Christopher S. Laws-Former BCG Securities Broker-Named in SEC Complaint-Alpharetta, GA 150 150 Robert Rex, Esq.

Alpharetta, Georgia AUGUST 2017 UPDATE-The Securities and Exchange Commission (SEC) charged Christopher S. Laws and three other Atlanta area brokers with fraudulently inducing federal employees to roll over holdings in…

read more
Enter your
text here

You cannot copy content of this page