• Robert Rex, Esq.

Steven Harris-Former Transamerica Financial Broker-Barred from FINRA- Burr Ridge, IL
Steven Harris-Former Transamerica Financial Broker-Barred from FINRA- Burr Ridge, IL 150 150 Robert Rex, Esq.

April 2021- Burr Ridge, IL According to publicly available records, former Transamerica Financial Advisors, Inc.  financial advisor Steven Harris, discloses two regulatory events, a termination and has been barred from the…

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  • Robert Rex, Esq.

Sylvester Knox-Former FSC Securities Broker-Discloses Regulatory Events, Customer Settlements of nearly $3.7M- Short Hills, NJ
Sylvester Knox-Former FSC Securities Broker-Discloses Regulatory Events, Customer Settlements of nearly $3.7M- Short Hills, NJ 150 150 Robert Rex, Esq.

April 2021- Short Hills, NJ According to his FINRA record  Sylvester Knox a financial advisor previously employed by FSC Securities Corporation discloses 4 regulatory events, 25 customer disputes and a…

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  • Robert Rex, Esq.

Matthew Nekuza-Former Charles Schwab Broker -Permanently Barred From Securities Industry- Fort Worth, TX
Matthew Nekuza-Former Charles Schwab Broker -Permanently Barred From Securities Industry- Fort Worth, TX 150 150 Robert Rex, Esq.

February 2021 – Fort Worth, TX According to publicly available records  Matthew B. Nekuza (CRD#6332114), a  former stockbroker who last worked for Charles Schwab & Co. Inc.,  has been permanently barred…

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  • Robert Rex, Esq.

Christopher “Cubby” Bice -Sagepoint Financial Broker-Discloses 3 Pending Customer Disputes and a Termination- Phoenix, AZ
Christopher “Cubby” Bice -Sagepoint Financial Broker-Discloses 3 Pending Customer Disputes and a Termination- Phoenix, AZ 150 150 Robert Rex, Esq.

April 2021- Phoenix, AZ According to publicly available records Christopher  R. “Cubby” Bice (CRD#3222439), a stockbroker employed with Sagepoint Financial, Inc.  discloses three pending customer disputes and a termination from…

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  • Robert Rex, Esq.

Jeffrey Alan Blutstein-Former Kestra Broker-Permanently Barred From FINRA-Holbrook, NY
Jeffrey Alan Blutstein-Former Kestra Broker-Permanently Barred From FINRA-Holbrook, NY 150 150 Robert Rex, Esq.

December  2020- Holbrook, NY According to publicly available records  Jeffrey Alan Blutstein (CRD#1398688), a  former stockbroker who last worked for American Portfolios Financial Services,  discloses a regulatory event and a…

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  • Robert Rex, Esq.

Spenser Sullivant- Former Waddell & Reed Broker-Suspended for 18 Months -St. Louis, MO
Spenser Sullivant- Former Waddell & Reed Broker-Suspended for 18 Months -St. Louis, MO 150 150 Robert Rex, Esq.

December 2020-St. Louis, MO According to publicly available records of Spenser William Sullivant (CRD#6524062) ,  a  former stockbroker who is currently unregistered who worked for Waddell & Reed,  discloses a regulatory…

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  • Robert Rex, Esq.

Irene Engard- Former PFS Investments Broker-Barred From FINRA- Federal Way, WA
Irene Engard- Former PFS Investments Broker-Barred From FINRA- Federal Way, WA 150 150 Robert Rex, Esq.

November 2020- Federal Way, WA According to publicly available records, former PFS Investments, Inc,  financial advisor Irene Engard,  has been barred from the securities industry. The Financial Industry Regulatory Authority (FINRA) is…

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  • Robert Rex, Esq.

Jeffrey Slothower-Former Private Client Services Broker-Discloses Regulatory Event and a Settled Customer Dispute-New York, NY
Jeffrey Slothower-Former Private Client Services Broker-Discloses Regulatory Event and a Settled Customer Dispute-New York, NY 150 150 Robert Rex, Esq.

November 2020- New York, NY According to publicly available records, former Private Client Services financial advisor Jeffrey Slothower,  was suspended  from the securities industry by FINRA. The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Mark Hopkins- Former American Portfolios Financial Broker-Barred from Securities Industry- Discloses Regulatory Events & Customer Disputes -Grand Blanc, MI
Mark Hopkins- Former American Portfolios Financial Broker-Barred from Securities Industry- Discloses Regulatory Events & Customer Disputes -Grand Blanc, MI 150 150 Robert Rex, Esq.

November 2020- Grand Blanc, MI According to publicly available records, former American Portfolios Financial Services, Inc. (APFS) ,  financial advisor Mark Lewton Hopkins,  has been barred from the securities industry by…

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  • Robert Rex, Esq.

Benjamin Bourgeois, Jr.-Former Commonwealth Financial Broker-Discloses Customer Disputes and a Termination-Metairie, LA
Benjamin Bourgeois, Jr.-Former Commonwealth Financial Broker-Discloses Customer Disputes and a Termination-Metairie, LA 150 150 Robert Rex, Esq.

November 2020- Metairie, LA According to publicly available records, former Commonwealth Financial Network,  financial advisor Benjamin Bourgeois, Jr.   is barred from FINRA and discloses 3 prior customer disputes, a pending…

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