• Robert Rex, Esq.

Can I Sue My Stockbroker or Financial Advisor for Losses?
Can I Sue My Stockbroker or Financial Advisor for Losses? 150 150 Robert Rex, Esq.

Yes, you can sue your stockbroker or financial advisor if you’ve suffered losses. Read below to find out the details. How to Sue and Recover Losses Caused by Your Stockbroker…

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  • Robert Rex, Esq.

William L. Baumner- Former Buckman, Buckman & Reid Broker-Has Multiple Customer Suits Involving Private Placements-Boca Raton, FL
William L. Baumner- Former Buckman, Buckman & Reid Broker-Has Multiple Customer Suits Involving Private Placements-Boca Raton, FL 150 150 Robert Rex, Esq.

William L. Baumner Investigation August 2022-Boca Raton, Florida According to FINRA records,  William L. Baumner, IV ,   a previously registered stockbroker who last worked for Tradespot Markets and  Buckman, Buckman & Reid   discloses  a…

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  • Robert Rex, Esq.

Lynn Cawthorne -Former Cambridge Investment Research Broker- Sentenced to Federal Prison for Wire Fraud-Shreveport, LA
Lynn Cawthorne -Former Cambridge Investment Research Broker- Sentenced to Federal Prison for Wire Fraud-Shreveport, LA 150 150 Robert Rex, Esq.

Lynn Cawthorne- Former Cambridge Investment Broker Sentenced for Wire Fraud August 2022-Shreveport, LA Shreveport Times photo of Lynn Cawthorne According to publicly available records, Lynn Dale Cawthorne, a former broker,…

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  • Robert Rex, Esq.

Austin Based Swiftarc Capital Has Registration Revoked by Texas Securities Regulator-Austin, TX
Austin Based Swiftarc Capital Has Registration Revoked by Texas Securities Regulator-Austin, TX 150 150 Robert Rex, Esq.

Swiftarc Capital & Siddharth Jawahar  Accused of Fraud June 2022- Austin, TX  On June 7, 2022, the Texas State Securities Board (TSSB) entered an order revoking the registration of Swiftarc…

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Anthony Prieto – Former Royal Alliance Broker-Discloses Pending Securities & Exchange Commission Suit-Tampa, FL
Anthony Prieto – Former Royal Alliance Broker-Discloses Pending Securities & Exchange Commission Suit-Tampa, FL 150 150 ER

Anthony Frank Prieto Investigation June 2022-Tampa, FL According to publicly available records Anthony Frank Prieto, a currently unregistered broker who last worked for  Royal Alliance Associates, Inc.,  discloses a pending United…

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  • Robert Rex, Esq.

Hector M. Flores- Former MML Investors Services Broker-Suspended by Regulators/ Sued for $750K- Lubbock, TX
Hector M. Flores- Former MML Investors Services Broker-Suspended by Regulators/ Sued for $750K- Lubbock, TX 150 150 Robert Rex, Esq.

Hector Flores Investigation May 2022-Lubbock, TX  According to publicly available records Hector Mario Flores, a broker who last worked for  MML Investors Services,  discloses a final regulatory matter, a settled customer…

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Manuel Collazo-Insigneo Securities Broker-Discloses $2.3M in Customer Settlements- San Juan, Puerto Rico
Manuel Collazo-Insigneo Securities Broker-Discloses $2.3M in Customer Settlements- San Juan, Puerto Rico 150 150 ER

Manuel Collazo Investigation April 2022- San Juan, Puerto Rico The FINRA records of Manuel Diaz Collazo,  a broker with Insigneo Securities who formerly worked for Santander Securities,  discloses 13 prior customer…

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Eric Hollifield Investigation-Former LPL Financial Advisor Subject of $1.24 Million Suit-Ducala, GA
Eric Hollifield Investigation-Former LPL Financial Advisor Subject of $1.24 Million Suit-Ducala, GA 150 150 ER

Eric Hollifield Investigation November 2021-Ducala, GA According to FINRA records  Eric S. Hollifield, an unregistered financial advisor previously employed by LPL Financial discloses a multi-million dollar suit by a customer…

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  • Robert Rex, Esq.

“Doc” Gallagher-The “Money Doctor”-Sentenced For Operating Ponzi scheme-Fort Worth, TX
“Doc” Gallagher-The “Money Doctor”-Sentenced For Operating Ponzi scheme-Fort Worth, TX 150 150 Robert Rex, Esq.

Doc Gallagher Punishment-3 Life Sentences-Plus 30 Years Bible Thumping Advisor Preyed Upon Churchgoers  November 2021-Fort Worth, TX  “Doc Gallagher” According to recent press William Neil “Doc” Gallagher was sentenced to…

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  • Robert Rex, Esq.

Patrick Brown-Former Merrill Lynch Financial Advisor-Settles Customer Suit for $1.3M-Montgomery, AL
Patrick Brown-Former Merrill Lynch Financial Advisor-Settles Customer Suit for $1.3M-Montgomery, AL 150 150 Robert Rex, Esq.

Patrick L. Brown Investigation October 2021-Montgomery, AL According to publicly available records Patrick L. Brown ,  a  stockbroker who was previously registered with Merrill Lynch, discloses the recent resolution of a customer…

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