FINRA Archives

Robert Rex, Esq.
February 1, 2019

Jay Weiser-Former Despain Financial Broker-Barred From Securities Industry-Collinsville, IL

Jay Weiser-Former Despain Financial Broker-Barred From Securities Industry-Collinsville, IL https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g February 1, 2019 February 1, 2019

February 2019 – Collinsville, IL According to public records, Jay R. Weiser (CRD#1511042) a former stockbroker who was previously employed by Despain Financial Corporation, discloses a regulatory event, a pending customer dispute and…

Robert Rex, Esq.
January 25, 2019

Kris Gaudet-Former Ameritas Broker-Discloses Fraud Investigation & Termination-Cut Off, LA

Kris Gaudet-Former Ameritas Broker-Discloses Fraud Investigation & Termination-Cut Off, LA https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g January 25, 2019 January 25, 2019

October 2019- Cut Off, LA According to publicly available records Kristian “Kris” M. Gaudet , a former stockbroker who was registered with Ameritas Investment Corp., discloses a recent regulatory event resulting…

Robert Rex, Esq.
December 14, 2018

Jon Pariser-Former Independent Financial Group Broker-Subject of $2.7M Customer Suits Over Note Sales-Pacific Grove, CA

Jon Pariser-Former Independent Financial Group Broker-Subject of $2.7M Customer Suits Over Note Sales-Pacific Grove, CA https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g December 14, 2018 December 14, 2018

December 2018-Pacific Grove, CA According to publicly available records Jon R. Pariser , a former stockbroker who was last registered with Independent Financial Group , and before that SWS Financial Services, disclose…

Robert Rex, Esq.
October 31, 2018

David Colflesh-Former NYLife Securities Broker-Subject of Multiple Customer Suits Over Mutual Funds-Tarkio, MO

David Colflesh-Former NYLife Securities Broker-Subject of Multiple Customer Suits Over Mutual Funds-Tarkio, MO https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g October 31, 2018 October 31, 2018

October 2018- Tarkio, Missouri The FINRA records of David R. Colflesh , a former stock broker who is not currently registered and who was last employed by NYLife Securities , disclose a regulatory suspension and 18 prior…

Robert Rex, Esq.
October 31, 2018

David Ferwerda-Former Signator Investors Broker-Sanctioned Over Woodbridge Mortgage Fund Sales-Grand Rapids, MI

David Ferwerda-Former Signator Investors Broker-Sanctioned Over Woodbridge Mortgage Fund Sales-Grand Rapids, MI https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g October 31, 2018 October 31, 2018

March 2019- Grand Rapids, MI The FINRA records of David Carl Ferwerda , a former stock broker who is not currently registered and who was last employed by Signator Investors , disclose a regulatory bar from the…

Robert Rex, Esq.
October 30, 2018

Charles Bloom- Former Chelsea Financial Services Broker-Barred From Securities Industry- Royal Palm Beach, FL

Charles Bloom- Former Chelsea Financial Services Broker-Barred From Securities Industry- Royal Palm Beach, FL https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g October 30, 2018 October 30, 2018

October 2018- Royal Palm Beach, FL Publicly available records disclose that Charles Lewis Bloom, a former stockbroker who was previously employed by Chelsea Financial Services, discloses 3 regulatory events and a currently…

Robert Rex, Esq.
September 25, 2018

Thomas Meier – Former Morgan Stanley Broker- Discloses 14 Customer Disputes- Miami, FL

Thomas Meier – Former Morgan Stanley Broker- Discloses 14 Customer Disputes- Miami, FL https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g September 25, 2018 September 25, 2018

January 2020 – Miami, FL According to publicly available records Thomas Alan Meier (CRD#1146044) , a former stockbroker who was last registered with Morgan Stanley, disclose a Regulatory Event and 14 prior customer disputes.…

Robert Rex, Esq.
August 31, 2018

Alex G. Herrera-Former UBS Broker-Accused of Stealing Client Money in $7M Investor Suit-Coral Gables, FL

Alex G. Herrera-Former UBS Broker-Accused of Stealing Client Money in $7M Investor Suit-Coral Gables, FL https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g August 31, 2018 August 31, 2018

March 2019 – Coral Gables, FL According to FINRA records, Alex Gerardo Herrera, a former stockbroker who last worked for USB Financial Services, discloses 2 prior regulatory events , a current customer dispute…

Robert Rex, Esq.
August 28, 2018

Trustmont Financial Group Ordered to Pay Customer $1M-Tampa, FL

Trustmont Financial Group Ordered to Pay Customer $1M-Tampa, FL https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g August 28, 2018 August 28, 2018

August 2018-Tampa, Florida A panel of FINRA arbitrators ordered Trustmont Financial Group to pay a former customer more than one million dollars for violations of Florida securities laws, breach of…

Robert Rex, Esq.
June 14, 2018

Herbert Voss, Jr.-Former StockCross Broker-Discloses Numerous Customer Suits & Termination From Employment-Beverly Hills, CA

Herbert Voss, Jr.-Former StockCross Broker-Discloses Numerous Customer Suits & Termination From Employment-Beverly Hills, CA https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 14, 2018 June 14, 2018

June 2018- Beverly Hills, CA The FINRA records of Herbert Voss, Jr. , a former stock broker who was last employed by StockCross Financial Services , disclose a regulatory event, a pending customer dispute, 7…

Featured Investigations