• Robert Rex, Esq.

Douglas P. Simanski-Former NEXT Financial Group Broker-Discharged for Theft
Douglas P. Simanski-Former NEXT Financial Group Broker-Discharged for Theft 150 150 Robert Rex, Esq.

Altoona, PA UPDATE MAY 2017-The FINRA records of former NEXT Financial Group broker Douglas Simanski currently disclose 13 pending customer disputes and 3 customer disputes that are final. The newly…

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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.

Stanley J. Fortenberry of San Angelo, TX, Indicted on Fraud Charges in Connection Oil Deals
Stanley J. Fortenberry of San Angelo, TX, Indicted on Fraud Charges in Connection Oil Deals 150 150 Robert Rex, Esq.

August 11, 2016-San Angelo, Texas The Department of Justice announced that Stanley J. Fortenberry, 50, of San Angelo, Texas, has been charged with 3 counts of mail fraud, 2 counts…

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  • Robert Rex, Esq.

Hank Werner-Former Legend Securities Broker-Discloses Investigation for Churning Account of Blind & Disabled Widow
Hank Werner-Former Legend Securities Broker-Discloses Investigation for Churning Account of Blind & Disabled Widow 150 150 Robert Rex, Esq.

August  2016-New York The FINRA records of Hank M. Werner ,  a  currently unlicensed stock broker who was most recently employed by Legend Securities Inc.  , discloses a pending FINRA investigation in which he was charged with…

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  • Robert Rex, Esq.

FBI Warns of Scams Targeting Seniors in North Texas
FBI Warns of Scams Targeting Seniors in North Texas 150 150 Robert Rex, Esq.

July 29. 2016- Sherman & Denison, Texas The Dallas division of the Federal Bureau of Investigation (FBI) sent out a warning about a scam which targets senior citizens in north…

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  • Robert Rex, Esq.

Andrew B. Kramer-Former Capitol Securities Management Broker-Discloses Customer Dispute
Andrew B. Kramer-Former Capitol Securities Management Broker-Discloses Customer Dispute 150 150 Robert Rex, Esq.

July 2016-Brooklyn, NY The FINRA records of Andrew B. Kramer ,  a  stock broker who is currently unlicensed and was most recently employed  by Capitol Securities Management & Kramer Capital Management , disclose a prior regulatory event, 2…

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  • Robert Rex, Esq.

Miami, FL-DOJ Charges Two With Securities Fraud
Miami, FL-DOJ Charges Two With Securities Fraud 150 150 Robert Rex, Esq.

July 2016-Miami, Florida The Department of Justice announced that stock promoters Daniel McKelvey, 49, of Foster City, CA and Jeffrey L. Lamson, 51, of El Dorado Hills, CA, have been charged…

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  • Robert Rex, Esq.

Chazon Stein-Former Primex Stock Broker-Discloses Permanent Bar from Securities Industry-Boca Raton, FL
Chazon Stein-Former Primex Stock Broker-Discloses Permanent Bar from Securities Industry-Boca Raton, FL 150 150 Robert Rex, Esq.

July 2016-Boca Raton, Florida The FINRA records of Chazon Stein (also known as Chaz Stein, Chazoni Stein & Zoni Stein) , a  currently unlicensed stockbroker who last worked for  Primex , disclose a prior regulatory event and 2 prior…

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  • Robert Rex, Esq.

George E. Johnson-Former Newport Coast Broker-Discloses $2.6M Customer Dispute
George E. Johnson-Former Newport Coast Broker-Discloses $2.6M Customer Dispute 150 150 Robert Rex, Esq.

July 2016-Chicago, Illinois The FINRA records of George E. Johnson  , a former stockbroker who was last  employed by  Newport Coast Securities  , disclose 3 final regulatory events, 6 prior customer disputes and a pending customer dispute.…

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