J.P. Morgan Securities

  • Robert Rex, Esq.

James E. Mahan-Former Raymond James Broker-Sanctioned by Securities Regulator-New Braunfels, TX
James E. Mahan-Former Raymond James Broker-Sanctioned by Securities Regulator-New Braunfels, TX 150 150 Robert Rex, Esq.

August 2016-New Braunfels, Texas The FINRA records of  James E. Mahan,  a  former stockbroker who most recently worked for Raymond James Financial Services  disclose a recent regulatory matter resulting in his permanent…

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  • Robert Rex, Esq.

Marco Mendoza- San Antonio Broker (J.P. Morgan) Barred From Securities Industry
Marco Mendoza- San Antonio Broker (J.P. Morgan) Barred From Securities Industry 150 150 Robert Rex, Esq.

January 11, 2016- San Antonio, Texas Marco A. Mendoza , formerly a broker with J.P. Morgan Securities was permanently barred from the securities industry, for failing to respond to FINRA request…

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  • Robert Rex, Esq.

Charlotte Guin-Former JP Morgan Securities Broker-Subject of $10M Customer Suit-Huffman, TX
Charlotte Guin-Former JP Morgan Securities Broker-Subject of $10M Customer Suit-Huffman, TX 150 150 Robert Rex, Esq.

May 2018 Update–Charlotte Guin is subject of $10M suit. Follow this for more information.  Original Post-August 5,  2015– Huffman, Texas  Charlotte Ann Guin ,  entered into a Letter of Acceptance Waiver and Consent…

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  • Robert Rex, Esq.

Sam Stull-Grapevine Texas StockBroker-Sanctioned for Forgery
Sam Stull-Grapevine Texas StockBroker-Sanctioned for Forgery 150 150 Robert Rex, Esq.

March 30, 2015, Grapevine, Texas  Sam Marshall Stull  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he forged the signatures of…

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