• Robert Rex, Esq.

Sanders Spangler Investigation-Former LPL Financial Broker-Barred From Securities Industry & Settles Customer Suits-San Antonio, TX
Sanders Spangler Investigation-Former LPL Financial Broker-Barred From Securities Industry & Settles Customer Suits-San Antonio, TX 150 150 Robert Rex, Esq.

Sanders Spangler Investigation November 2021-San Antonio, Texas The FINRA records of  Sanders L. Spangler ,   a  former stockbroker who was once employed by  LPL Financial  disclose a regulatory matter, 6 prior customer disputes…

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  • ER

Andrew “Andy” Durham- Former Allstate Financial Services Broker- Suspended by Regulator -Greenwood, SC
Andrew “Andy” Durham- Former Allstate Financial Services Broker- Suspended by Regulator -Greenwood, SC 150 150 ER

Andrew “Andy” Durham Investigation November  2021-Greenwood, SC According to publicly available records. Andy T. Durham , a stockbroker formerly employed by Allstate Financial Services  discloses a regulatory suspension. The Financial Industry…

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  • Robert Rex, Esq.

Hancock Whitney Investment Services- Fined $2.4M – Regulator Alleges Conflict of Interest
Hancock Whitney Investment Services- Fined $2.4M – Regulator Alleges Conflict of Interest 150 150 Robert Rex, Esq.

Hancock Whitney Investment Services Investigation November 2021 Hancock Whitney Investment Services was fined and ordered to pay disgorgement and restitution over $2.4 million dollars by regulators for conflicts of interest related…

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  • Robert Rex, Esq.

Megurditch “Mike” Patatian -Former Western International Securities Broker- Allegedly Sold $7.8M of Unsuitable REITs- Westlake Village, CA
Megurditch “Mike” Patatian -Former Western International Securities Broker- Allegedly Sold $7.8M of Unsuitable REITs- Westlake Village, CA 150 150 Robert Rex, Esq.

Megurditch “Mike” Patatian Investigation November 2021- Westlake Village, CA According to publicly available records,  Mike Patatian a former broker who was last employed by Western International Securities, Inc. discloses a pending…

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  • Robert Rex, Esq.

Gilford Ward Nergard- Former Raymond James Broker- Discloses Regulatory Event, Customer Disputes and a Termination From Employment – Phoenix, AZ
Gilford Ward Nergard- Former Raymond James Broker- Discloses Regulatory Event, Customer Disputes and a Termination From Employment – Phoenix, AZ 150 150 Robert Rex, Esq.

Guilford Nergard Investigaton November 2021- Phoenix, AZ According to publicly available records,  Guilford Nergard,  a currently unregistered  financial advisor who previously was employed by Raymond James discloses a regulatory event ,…

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  • Robert Rex, Esq.

Austin R. Dutton Jr.-Former Newbridge Securities Broker-Fined $200K-Settles 22 Customer Suits -Doylestown, PA
Austin R. Dutton Jr.-Former Newbridge Securities Broker-Fined $200K-Settles 22 Customer Suits -Doylestown, PA 150 150 Robert Rex, Esq.

Austin Dutton Investigation November 2021–Doylestown, PA The FINRA records of  Austin R. Dutton, Jr. ,  a  stock broker who was previously employed by Newbridge Securities and who is currently employed by American…

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  • Robert Rex, Esq.

Maxim Beliakov- Former Garden State Securities Broker- Suspended by Regulator for Churning-Red Bank, NJ
Maxim Beliakov- Former Garden State Securities Broker- Suspended by Regulator for Churning-Red Bank, NJ 150 150 Robert Rex, Esq.

Maxim Beliakov Investigation November  2021-Red Bank, NJ According to publicly available records. Maxim Beliakov , a stockbroker formerly employed by Garden State Securities and Woodstock Financial Group  discloses a regulatory suspension. The…

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  • Robert Rex, Esq.

Lawrence Goldstein-Former McNally Financial Services Broker-Churning Allegations Result in Bar from Industry- San Antonio, TX
Lawrence Goldstein-Former McNally Financial Services Broker-Churning Allegations Result in Bar from Industry- San Antonio, TX 150 150 Robert Rex, Esq.

Lawrence Goldstein Investigation November 2021- San Antonio, TX According to publicly available records  Lawrence B. Goldstein (CRD#2282699), a  former stockbroker who last worked for McNally Financial Services Corporation, discloses a regulatory…

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Joseph Lianzo -Former SW Financial Broker-Suspended by FINRA-Melville, NY
Joseph Lianzo -Former SW Financial Broker-Suspended by FINRA-Melville, NY 150 150 ER

Joseph A. Lianzo Investigation November  2021 – Melville, NY According to publicly attained records, Joseph Lianzo, a stockbroker who is not currently registered  and who was last employed by SW Financial…

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