• Robert Rex, Esq.

William F. Garbarino-Former Lincoln Financial Broker-Barred From Securities Industry-Danbury, CT
William F. Garbarino-Former Lincoln Financial Broker-Barred From Securities Industry-Danbury, CT 150 150 Robert Rex, Esq.

September 2017 – Danbury, CT According to publicly available records  William F. Garbarino (CRD#730278) , a former stockbroker  who was most recently employed by Lincoln Financial Advisors , disclose a termination from employment and…

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  • Robert Rex, Esq.

Jill Cody (Tramontano)-Former Concorde Investment Services Broker-Barred From Securities Industry-Spring Lake, NJ
Jill Cody (Tramontano)-Former Concorde Investment Services Broker-Barred From Securities Industry-Spring Lake, NJ 150 150 Robert Rex, Esq.

September 2017 According to publicly available records Jill M. Cody , (CRD# 4333419) ,  a  former stockbroker who last worked for Concorde Investment Services  , has numerous disclosures:  1 prior regulatory events 8…

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  • Robert Rex, Esq.

Jean Walsh-Josephson -Former Thrivent Investment Management Broker & Husband Die In Murder-Suicide
Jean Walsh-Josephson -Former Thrivent Investment Management Broker & Husband Die In Murder-Suicide 150 150 Robert Rex, Esq.

February 2017-Oshkosh, Wisconsin According to US News, the sheriff of Winnebago County reports that former Thrivent Investment Management stock broker Jean A. Walsh-Josephson and her husband, Dewey Josephson,  were found…

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  • Robert Rex, Esq.

Kevin Hudak-Former Foothill Securities Broker-Barred From Securities Industry
Kevin Hudak-Former Foothill Securities Broker-Barred From Securities Industry 150 150 Robert Rex, Esq.

November 2016-Albuquerque, NM The FINRA records of  Kevin Hudak,  a  former stockbroker last employed in the industry by Foothill Securities , was permanently barred from acting as a broker or otherwise associating with firms…

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  • Robert Rex, Esq.

Raymond T. Clark-Former Dynasty Capital Partners Broker-Discloses 6 Pending Customer Disputes
Raymond T. Clark-Former Dynasty Capital Partners Broker-Discloses 6 Pending Customer Disputes 150 150 Robert Rex, Esq.

August 2016- Buffalo, New York The FINRA records of  Raymond T. Clark,  a  former stock broker who FINRA has permanently barred from acting as a broker or otherwise associating with firms that…

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  • Robert Rex, Esq.

Matthew J. Streckenbach-Former Pruco Broker- Discloses Discharge from Employment
Matthew J. Streckenbach-Former Pruco Broker- Discloses Discharge from Employment 150 150 Robert Rex, Esq.

Green Bay, WI According to FINRA records,  Matthew J. Streckenbach ,  a stockbroker  who currently works  for Packerland Brokerage Services ,  discloses  a termination from employment. The Financial Industry Regulatory Authority (FINRA) is the agency that…

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  • Robert Rex, Esq.

Brent V. Lott Investigation-Former MHL Investments Broker-Discharged for Violating Firm Policy-Orem, UT
Brent V. Lott Investigation-Former MHL Investments Broker-Discharged for Violating Firm Policy-Orem, UT 150 150 Robert Rex, Esq.

Brent Van Lott Investigation October 2022- Orem, Utah According to FINRA records,  Brent Van Lott ,   a stock broker who is not currently and who was last  employed by MHL Investments , discloses a regulatory event,…

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  • Robert Rex, Esq.

Michael P. Lessard-Former MetLife Securities Broker-Discloses Regulatory Suspension
Michael P. Lessard-Former MetLife Securities Broker-Discloses Regulatory Suspension 150 150 Robert Rex, Esq.

Charlotte, North Carolina According to FINRA records,  Michael P. Lessard, Jr.,   a stockbroker who currently works for Southeast Investments,  discloses  a regulatory investigation and a discharge from a prior firm. The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Mark C. Quale-Discharged by First Financial Equity Corp.
Mark C. Quale-Discharged by First Financial Equity Corp. 150 150 Robert Rex, Esq.

Scottsdale, AZ According to FINRA records, Mark C. Quale,  a broker who began working for First Financial Equity Corp. in 12/2005 discloses that he was discharged by First Financial Equity in…

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  • Robert Rex, Esq.

Brian Brunhaver Investigation Update-Former LPL Broker-Discloses Numerous Customer Complaints-Snohomish, WA
Brian Brunhaver Investigation Update-Former LPL Broker-Discloses Numerous Customer Complaints-Snohomish, WA 150 150 Robert Rex, Esq.

April 1, 2016-Snohomish, WA In 2013 Brian Brunhaver, a former stock broker with LPL Financial, was sanctioned the Washington State Securities regulators for the sale of non publicly traded real…

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