• Robert Rex, Esq.

Timothy T. Gibbons-Former Morgan Stanley Broker-Ordered to Pay Former Customers $749K-New Orleans,LA
Timothy T. Gibbons-Former Morgan Stanley Broker-Ordered to Pay Former Customers $749K-New Orleans,LA 150 150 Robert Rex, Esq.

November 2017-New Orleans, LA According to FINRA records,   without admitting or denying the findings, Timothy T. Gibbons , a former Morgan Stanley broker,  entered into an agreement with FINRA to resolve allegations that…

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  • Robert Rex, Esq.

William Merriam IV – Former Merrill Lynch Broker- Barred from Securities Industry- Jacksonville, FL
William Merriam IV – Former Merrill Lynch Broker- Barred from Securities Industry- Jacksonville, FL 150 150 Robert Rex, Esq.

October 2017 – Jacksonville, FL According to publicly available records William  H. Merriam IV, (CRD#5222110) , a  former stockbroker who was last employed by Merrill Lynch , disclose  a prior regulatory event and a termination…

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  • Robert Rex, Esq.

Tye Williams-Former NEXT Financial Broker-Subject of $1M Customer Dispute-Frisco, TX
Tye Williams-Former NEXT Financial Broker-Subject of $1M Customer Dispute-Frisco, TX 150 150 Robert Rex, Esq.

UPDATE OCTOBER 2017– Frisco, TX Former NEXT Financial Group stockbroker, Tye Williams was barred from the securities industry by FINRA for failing to cooperate with regulatory investigation alleging theft of $1M, making…

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  • Robert Rex, Esq.

Investigation UPDATE-Bill Hightower Indicted-Former UBS Stockbroker-Houston, TX
Investigation UPDATE-Bill Hightower Indicted-Former UBS Stockbroker-Houston, TX 150 150 Robert Rex, Esq.

JANUARY 2019- Houston, TX We are currently pursuing FINRA arbitration claims on behalf of investors who were victims of William Hightower. In a recently filed case on behalf of a…

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  • Robert Rex, Esq.

James V. Marino-Former Edward Jones Broker- Faces Allegations of Theft from Customer-Pompano Beach, FL
James V. Marino-Former Edward Jones Broker- Faces Allegations of Theft from Customer-Pompano Beach, FL 150 150 Robert Rex, Esq.

OCTOBER 2017 James V. Marino , a former stockbroker in Pompano Beach, FL, who was last employed by Edward Jones ,  was recently barred permanently from the securities industry by FINRA. …

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  • Robert Rex, Esq.

Aldo Marchena-Former Northeast Securities Broker-Discloses Settlments to Customers and Regulatory Sanction-Boca Raton, FL
Aldo Marchena-Former Northeast Securities Broker-Discloses Settlments to Customers and Regulatory Sanction-Boca Raton, FL 150 150 Robert Rex, Esq.

UPDATE March 2019–Aldo Marchena, who is not currently registered with any broker dealer,  was recently permanently barred from the securities industry in Florida. He discloses four customer disputes on his…

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  • Robert Rex, Esq.

Paul V Blum-Former RBC Capital Broker- Sued by Clients for Unsuitable Trading-W. Palm Beach, FL
Paul V Blum-Former RBC Capital Broker- Sued by Clients for Unsuitable Trading-W. Palm Beach, FL 150 150 Robert Rex, Esq.

October 2017-West Palm Beach, FL The FINRA records of  Paul Vincent Blum ,  a  stockbroker who was previously employed by RBC Capital Markets disclose a prior regulatory event, 9 pending customer disputes and 14…

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  • Robert Rex, Esq.

William W. Marshall-Ameriprise Broker-Subject of Pending Customer Suits Alleging Fraud-Plano, TX
William W. Marshall-Ameriprise Broker-Subject of Pending Customer Suits Alleging Fraud-Plano, TX 150 150 Robert Rex, Esq.

April 2018-Plano, TX The FINRA records of  William W. Marshall ,  a  stockbroker who is currently registered with Ameriprise Financial Services disclose a prior regulatory event, 6 pending customer disputes including at least…

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