• Robert Rex, Esq.

Bernard Breton -Cetera Advisors Broker-Discloses Pending Customer Dispute- Parker, CO.
Bernard Breton -Cetera Advisors Broker-Discloses Pending Customer Dispute- Parker, CO. 150 150 Robert Rex, Esq.

April 2017-Parker, CO According to publicly available records Bernard A. Breton, (CRD#2030660) ,  a  stockbroker who is currently registered with  Cetera Advisors, discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…

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  • Robert Rex, Esq.

Christopher Jansen – Broker Currently Registered with Newbridge Securities- Discloses Four Customer Disputes and Two Terminations – Princeton, NJ
Christopher Jansen – Broker Currently Registered with Newbridge Securities- Discloses Four Customer Disputes and Two Terminations – Princeton, NJ 150 150 Robert Rex, Esq.

June 2017 – New York, City The FINRA records of  Christopher C. Jansen ,  a  stockbroker who is currently registered with Newbridge Securities , disclose a pending customer dispute,  3 prior customer disputes and…

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  • Robert Rex, Esq.

Jarred M Lawson – Former Merrill Lynch Broker-Discloses Termination and Suspension-Jacksonville, FL
Jarred M Lawson – Former Merrill Lynch Broker-Discloses Termination and Suspension-Jacksonville, FL 150 150 Robert Rex, Esq.

June 2017 – Jacksonville, FL The FINRA records of Jarred M. Lawson,  a  stockbroker who is currently not registered disclose a final regulatory event and a termination. The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Nicholas Toadvine – Former Investors Capital Corp. Broker- Discloses 12 Prior Final Customer Disputes – Lakeland, FL
Nicholas Toadvine – Former Investors Capital Corp. Broker- Discloses 12 Prior Final Customer Disputes – Lakeland, FL 150 150 Robert Rex, Esq.

May 2017- Lakeland, FL According to publicly available records Nicholas S. Toadvine, (CRD#3260858) ,  a  stockbroker who  was previously registered with Investors Capital Corp. discloses 12  prior final  customer disputes. The Financial Industry Regulatory Authority (FINRA) is the…

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  • Robert Rex, Esq.

Hemant Kathuria-Euro Pacific Capital Broker-Discloses Customer Arbitration Over Private Placement Investments-El Segundo, CA
Hemant Kathuria-Euro Pacific Capital Broker-Discloses Customer Arbitration Over Private Placement Investments-El Segundo, CA 150 150 Robert Rex, Esq.

May 2017- El Segundo, CA The FINRA records of  Hemant Kathuria ,  a  stockbroker who is currently employed by  Euro Pacific Capital disclose 1 pending customer dispute and 3 prior final customer disputes. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Elder Financial Exploitation Seminar-Williston, VT-May 18, 2017
Elder Financial Exploitation Seminar-Williston, VT-May 18, 2017 150 150 Robert Rex, Esq.

May 16, 2017-Williston, VT The New England Federal Credit Union is holding a seminar on Elder Financial Exploitation on Thursday, May 18th, at their main branch located at 141 Harvest…

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  • Robert Rex, Esq.

Joe L. Buckner-Former Brazos Securities Broker-Barred From Industry by FINRA-Dallas, TX
Joe L. Buckner-Former Brazos Securities Broker-Barred From Industry by FINRA-Dallas, TX 150 150 Robert Rex, Esq.

May 2017- Dallas, TX The FINRA records of  Joe L. Buckner,  a  former stockbroker who was last employed by  Brazos Securities discloses a prior regulatory event, a pending customer dispute, a regulatory investigation and a termination from…

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  • Robert Rex, Esq.

Dennis Rasmusson- Former VSR Financial Broker- Discloses Customer Disputes-Scottsdale, AZ
Dennis Rasmusson- Former VSR Financial Broker- Discloses Customer Disputes-Scottsdale, AZ 150 150 Robert Rex, Esq.

April 2017- Scottsdale, AZ The FINRA records of  Dennis D. Rasmusson,  a  stockbroker who is currently employed by  Berthel, Fisher & Company Financial Services, Inc.  and was previously employed by VSR Financial Services, disclose a…

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  • Robert Rex, Esq.

Timothy Hawkins- Former VSR Financial Services Broker – Discloses Customer Dispute-Ankeny, IA
Timothy Hawkins- Former VSR Financial Services Broker – Discloses Customer Dispute-Ankeny, IA 150 150 Robert Rex, Esq.

April 2017- Ankeny, IA The FINRA records  of  Timothy J. Hawkins,  a  stockbroker who is currently employed by  Broker Dealer Financial Services, Inc.  and was previously employed by VSR Financial Services, disclose 2 prior…

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  • Robert Rex, Esq.

RIcky R. Moore-Sagepoint Financial Broker-Discloses Regulatory Suspension/Fine-Angleton, TX
RIcky R. Moore-Sagepoint Financial Broker-Discloses Regulatory Suspension/Fine-Angleton, TX 150 150 Robert Rex, Esq.

May 2017-Angleton, TX The FINRA records of RIcky R. Moore,  a  stockbroker who is employed by  Sagepoint Financial  disclose a final regulatory event, 3 prior customer disputes and a termination from employment. The Financial Industry Regulatory Authority…

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