• Robert Rex, Esq.

Joseph I. Yanofsky-former Merrill Lynch Broker-Discloses Termination and $400k Customer Claim
Joseph I. Yanofsky-former Merrill Lynch Broker-Discloses Termination and $400k Customer Claim 150 150 Robert Rex, Esq.

  APRIL 2018 UPDATE–See this link.  May 2016-Greenwood Village, Colorado According to FINRA records, Joseph I. Yanofsky,  a broker who has been  registered  with FIrst Financial Equity Corp, since  6/2015 , discloses a…

read more
  • Robert Rex, Esq.

Randy G. Merrill-First Financial Equity Broker-Settles Customer Arbitration Matter
Randy G. Merrill-First Financial Equity Broker-Settles Customer Arbitration Matter 150 150 Robert Rex, Esq.

Dallas, Texas According to FINRA records, Randy G. Merrill ,  a broker who has been  registered  with FIrst Financial Equity Corp, since  7/2009 , discloses a recently resolved customer dispute The Financial Industry Regulatory Authority…

read more
  • Robert Rex, Esq.

Jason B. Vanclef-VFG Securities-Named In Regulatory Investigation Over REIT Sales
Jason B. Vanclef-VFG Securities-Named In Regulatory Investigation Over REIT Sales 150 150 Robert Rex, Esq.

Culver CIty, CA According to FINRA records, Jason B. Vanclef,  a broker who is  registered  with VFG Securities  , discloses that he is named in a FINRA complaint alleging that in connection with…

read more
  • Robert Rex, Esq.

Miguel A. Hernandez-Former Thrivent StockBroker-Barred From Securities Industry
Miguel A. Hernandez-Former Thrivent StockBroker-Barred From Securities Industry 150 150 Robert Rex, Esq.

El Paso, Texas According to FINRA records, Miguel A. Hernandez ,  a broker who was formerly  registered  with Thrivent Investment Management in El Paso, Texas , has been permanently barred from acting as a…

read more
  • Robert Rex, Esq.

Wilson G. Saville-Barrett & Co.-Lose Customer Arbitration
Wilson G. Saville-Barrett & Co.-Lose Customer Arbitration 150 150 Robert Rex, Esq.

JUNE 2018 UPDATE-IN 5/2016 a FINRA arbitration panel awarded damages of $267,890 to the Barrett & Company customer that filed FINRA Case 14-0755 discussed below. ORIGINAL POST MAY 2016 Providence,…

read more
  • Robert Rex, Esq.

Ralph “Brud” Worthington-Formerly with Gilford Securities- Named in Customer Arbitration
Ralph “Brud” Worthington-Formerly with Gilford Securities- Named in Customer Arbitration 150 150 Robert Rex, Esq.

New York According to FINRA records, Ralph  (Brud) Worthington IV, a broker who formerly worked for Gilford Securities , discloses 7 customer disputes, 6 of which have been finalized and one of…

read more
  • Robert Rex, Esq.

Larry C. Wolfe-Former Herbert J. Sims Stockbroker-Sued by Customers/Discharged & Barred From Securities Industry-Boca Raton, FL
Larry C. Wolfe-Former Herbert J. Sims Stockbroker-Sued by Customers/Discharged & Barred From Securities Industry-Boca Raton, FL 150 150 Robert Rex, Esq.

MAY 2018 UPDATE ON LARRY WOLFE-BOCA RATON, FL-FINRA records disclose that Wolfe was permanently barred from securities industry in 2/2018 for failing to respond to FINRA request for information. In…

read more
  • Robert Rex, Esq.

Thomas G. Gresham-Moloney Securities Broker-Subject Of Numerous Energy Sector Loss Suits- Leawood, KS
Thomas G. Gresham-Moloney Securities Broker-Subject Of Numerous Energy Sector Loss Suits- Leawood, KS 150 150 Robert Rex, Esq.

February 2019-Leawood, KS The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and…

read more
Enter your
text here

You cannot copy content of this page