First Allied Securities

  • Robert Rex, Esq.

Kelly G. Richards-First Allied Securities Broker-Discloses Prior Termination-Phoenix, AZ
Kelly G. Richards-First Allied Securities Broker-Discloses Prior Termination-Phoenix, AZ 150 150 Robert Rex, Esq.

August  2018- The FINRA records of  Kelly Gene Richards , (CRD 4918409),   a  stockbroker who is currently  employed by  First Allied Securities, disclose a prior termination from employment. The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Robert S. Graham-Former Capital Investment Group Broker-Subject of Customer Arbitration-Scottsdale, AZ
Robert S. Graham-Former Capital Investment Group Broker-Subject of Customer Arbitration-Scottsdale, AZ 150 150 Robert Rex, Esq.

March 2019-Scottsdale, AZ The FINRA records of  Robert S. Graham ,  a  stockbroker who is currently unregistered and who last was employed by  First Allied Securities, disclose a  regulatory event and a…

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  • Robert Rex, Esq.

Andrew Scheirer-Kovack Securities Broker-Discloses Customer Disputes-Sanford, FL
Andrew Scheirer-Kovack Securities Broker-Discloses Customer Disputes-Sanford, FL 150 150 Robert Rex, Esq.

January 2017-Sanford, FL According to publicly available records Andrew R. Scheirer, II (CRD# 4256666) ,  a  stockbroker currently employed by Kovack Securities ,  discloses two  prior finalized customer disputes and a separation from employment after…

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  • Robert Rex, Esq.

VSR Financial-Overland Park, KS, Brokerage Firm- Shutting Down Operations
VSR Financial-Overland Park, KS, Brokerage Firm- Shutting Down Operations 150 150 Robert Rex, Esq.

November 3, 2016-Overland Park, KS The Kansas City Star reports that VSR Financial, which has been in business since 1984, it shutting down and moving its brokers and customers to…

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  • Robert Rex, Esq.

Billy Fox-First Allied Securities Broker-Discloses Pending Customer Dispute-Austin, TX
Billy Fox-First Allied Securities Broker-Discloses Pending Customer Dispute-Austin, TX 150 150 Robert Rex, Esq.

February 2020-Austin, Texas The FINRA records of  William F.  “Billy” Fox,  a  stockbroker who is currently employed by  First Allied Securities  disclose 2 prior customer disputes that are final and one currently pending…

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  • Robert Rex, Esq.

Senator Elizabeth Warren Criticizes Wall Street For Inadequately Policing Stock Brokers
Senator Elizabeth Warren Criticizes Wall Street For Inadequately Policing Stock Brokers 150 150 Robert Rex, Esq.

March 3, 2016-Washington, DC The Investment News reported that Massachusetts Senator Elizabeth Warren raised doubts during a Senate banking subcommittee hearing about whether FINRA can adequately police itself. Wa During…

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  • Robert Rex, Esq.

Losses on RCS Capital (RCAP) ? Recovery Options for Investors.
Losses on RCS Capital (RCAP) ? Recovery Options for Investors. 150 150 Robert Rex, Esq.

December 3, 2015 RCS Capital Corp. (RCAP) was trading at over $38 in April 2014. At the time of this writing it is trading for 43 cents. Investors who have…

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  • Robert Rex, Esq.

Former Cambridge Investment Research Broker Sanctioned in Connection with FINRA Investigation of Conversion of Funds from Elderly Client
Former Cambridge Investment Research Broker Sanctioned in Connection with FINRA Investigation of Conversion of Funds from Elderly Client 150 150 Robert Rex, Esq.

August18, 2015, Glenn Allen Moffitt,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he refused to appear for…

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  • Robert Rex, Esq.

Investigation of William Tatro-Former First Allied Securities Stock Broker
Investigation of William Tatro-Former First Allied Securities Stock Broker 150 150 Robert Rex, Esq.

July 10, 2015- Rex Securities Law is investigating former stock broker William “Bill” Tatro who was employed by First Allied Securities from 11/2003-9/2010. According to FINRA records, Tatro was permanently barred from the securities industry in…

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