• Robert Rex, Esq.

Ex-Pat With Losses in Your U.S. Brokerage Account? How to Recover Damages.
Ex-Pat With Losses in Your U.S. Brokerage Account? How to Recover Damages. 150 150 Robert Rex, Esq.

Ex-Pat With Losses in Your U.S. Brokerage Account? If you are an expat residing in Canada, The Bahamas, Japan, Thailand, Mexico, United Kingdom, Europe, Australia, the Caribbean, South America, Costa…

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  • Robert Rex, Esq.

McNally Financial Services Discloses Regulatory Sanctions Over Sale of Steepener Investments-San Antonio, TX
McNally Financial Services Discloses Regulatory Sanctions Over Sale of Steepener Investments-San Antonio, TX 150 150 Robert Rex, Esq.

Updated August 2025 –San Antonio, Texas According to publicly available records San Antonio-based brokerage firm McNally Financial Services  (CRD#121196) , discloses five prior regulatory events. FINRA Investigation of McNally Financial McNally Financial makes the…

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  • Robert Rex, Esq.

Thomas J. Tedeschi-Former Spartan Capital Broker-Discloses Regulatory Suspension & Customer Settlements
Thomas J. Tedeschi-Former Spartan Capital Broker-Discloses Regulatory Suspension & Customer Settlements 150 150 Robert Rex, Esq.

August 2025-Farmingdale, NY The FINRA records of  Thomas J. Tedeschi,  a  currently unregistered stockbroker who was last employed by  Spartan Capital Securities  disclose 6 prior customer disputes and  two regulatory matters. The…

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  • Robert Rex, Esq.

Sean Brady-Former First Allied Securities Broker-Millions in Settlements Paid to Former Customers-St. Louis, MO
Sean Brady-Former First Allied Securities Broker-Millions in Settlements Paid to Former Customers-St. Louis, MO 150 150 Robert Rex, Esq.

April 2024- St. Louis, MO The FINRA records of  Sean Aaron Brady ,  a  former stock broker who is not currently registered and who was last employed by First Allied Securities ,  disclose  that he was…

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  • Robert Rex, Esq.

Securities Arbitration vs. Securities Mediation
Securities Arbitration vs. Securities Mediation 150 150 Robert Rex, Esq.

  The Financial Industry Regulatory Authority (FINRA) provides the following explanation of the difference between Arbitration and Mediation: “Overview Arbitration and mediation are two distinct ways of resolving securities and…

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  • Robert Rex, Esq.

Moody Securities Sanctioned by FINRA Over REIT Sales-Houston, TX
Moody Securities Sanctioned by FINRA Over REIT Sales-Houston, TX 150 150 Robert Rex, Esq.

January 2024, Houston, Texas  Moody Securities, LLC,  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that it violated FINRA rules  governing…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Brady Keith Collier of Lubbock, Texas
Rex Securities Law Investment Fraud Attorney Investigates Brady Keith Collier of Lubbock, Texas 150 150 Robert Rex, Esq.

Last Updated: December 2023 (Lubbock, Texas) Brady Collier Investigation Summary Here’s what you need to know about Lubbock, Texas, resident Brady Collier: Name: Mr. Brady Keith Collier Aliases: Brady Collier…

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  • Robert Rex, Esq.

Jason Jaynes-Former Merrill Lynch Advisor-Settles Customer Disputes for $4.85 Million-Plano, Texas
Jason Jaynes-Former Merrill Lynch Advisor-Settles Customer Disputes for $4.85 Million-Plano, Texas 150 150 Robert Rex, Esq.

Jason R. Jaynes Investigation January 2024-Plano, TX According to publicly available records Jason R. Jaynes  ,  a  stockbroker who was previously registered with Merrill Lynch, discloses settlement of a customer dispute which…

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  • Robert Rex, Esq.

Nick Giallourakis- Newbridge Securities Broker-Discloses Customer Disputes-Clearwater, FL
Nick Giallourakis- Newbridge Securities Broker-Discloses Customer Disputes-Clearwater, FL 150 150 Robert Rex, Esq.

Updated: December 2023 Clearwater, Florida Newbridge Securities broker Nicholas M.  Giallourakis  discloses 4 prior final customer disputes on his FINRA records. In 10.2023 a customer of Newbridge Securities was paid $14,999…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates James R. Dickson formerly with Sanctuary Securities
Rex Securities Law Investment Fraud Attorney Investigates James R. Dickson formerly with Sanctuary Securities 150 150 Robert Rex, Esq.

Last Updated: October 2023 (Indianapolis, IN) Jim Dickson Investigation Summary Here’s what you need to know about Indianapolis, IN, stockbroker Jim Dickson: Name: Mr. James R. Dickson Current Employer: Not…

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