Judy K Morehead-Former Navarre Beach Chamber CEO-Charged With Securities Fraud-Navarre Beach, AL

Judy K Morehead-Former Navarre Beach Chamber CEO-Charged With Securities Fraud-Navarre Beach, AL 150 150 Robert Rex, Esq.

June 2017-Navarre Beach, Alabama The Alabama Securities Commission announced that Judy Kay Morehead of Henry County, Alabama, turned herself in to the Henry County Jail upon an arrest warrant charging…

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Christopher S. Laws-Former BCG Securities Broker-Named in SEC Complaint-Alpharetta, GA

Christopher S. Laws-Former BCG Securities Broker-Named in SEC Complaint-Alpharetta, GA 150 150 Robert Rex, Esq.

Alpharetta, Georgia AUGUST 2017 UPDATE-The Securities and Exchange Commission (SEC) charged Christopher S. Laws and three other Atlanta area brokers with fraudulently inducing federal employees to roll over holdings in…

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Charles R. Elhoff-LPL Financial Broker-Discloses Pending Customer Dispute-Arlington, TX

Charles R. Elhoff-LPL Financial Broker-Discloses Pending Customer Dispute-Arlington, TX 150 150 Robert Rex, Esq.

June 2017- Arlington, Texas According to publicly available records Charles R. Elhoff, Jr.  (CRD#76936) ,  a  stockbroker who currently is employed by  LPL Financial,   discloses  a currently pending customer dispute and a prior…

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RIcky R. Moore-Sagepoint Financial Broker-Discloses Regulatory Suspension/Fine-Angleton, TX

RIcky R. Moore-Sagepoint Financial Broker-Discloses Regulatory Suspension/Fine-Angleton, TX 150 150 Robert Rex, Esq.

May 2017-Angleton, TX The FINRA records of RIcky R. Moore,  a  stockbroker who is employed by  Sagepoint Financial  disclose a final regulatory event, 3 prior customer disputes and a termination from employment. The Financial Industry Regulatory Authority…

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Marcos Yanez-Former LPL Financial Broker-Named in Customer Dispute Over Insurance and Loan-Dallas, TX

Marcos Yanez-Former LPL Financial Broker-Named in Customer Dispute Over Insurance and Loan-Dallas, TX 150 150 Robert Rex, Esq.

April 2017-Dallas, Texas The FINRA records of  Marcos Yanez ,  a   former stockbroker with LPL Financial who is currently not registered with any brokerage firm disclose a pending customer dispute. The…

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Nghi Thanh Ho -IMS Securities Broker-Discloses Customer Dispute- Houston, TX

Nghi Thanh Ho -IMS Securities Broker-Discloses Customer Dispute- Houston, TX 150 150 Robert Rex, Esq.

April 2017 – Houston, TX According to publicly available records Nghi Thanh Ho,  (CRD#2327672) ,  a  stockbroker who is currently registered with IMS Securities  discloses one pending customer dispute and a separation from employment.  The Financial Industry…

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Leon Paul Rehak-Former Raymond James Broker-Named in Churning Complaint-Pompano, FL

Leon Paul Rehak-Former Raymond James Broker-Named in Churning Complaint-Pompano, FL 150 150 Robert Rex, Esq.

March 2017-Pompano Beach, FL According to publicly available records Leon Paul Rehak  , (CRD# 2331058) ,  a   stockbroker who presently works for LPL Financial,  discloses a pending customer dispute. The Financial Industry Regulatory Authority…

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Securities Regulators Fine 12 Firms over $14 million for Failing to Protect Records

Securities Regulators Fine 12 Firms over $14 million for Failing to Protect Records 150 150 Robert Rex, Esq.

December 2016- Washington In a News Release, the Financial Industry Regulatory Authority (FINRA) announced that the following firms were fined a total of $14.4 million for deficiencies relating to the…

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Dominic DeBruin-Former LPL Financial Broker-Barred From Securities Industry

Dominic DeBruin-Former LPL Financial Broker-Barred From Securities Industry 150 150 Robert Rex, Esq.

November 2016-Mesa, AZ The FINRA records of  Dominic T. DeBruin,  a  former stockbroker with LPL Financial,  disclose that he has been permanently barred from acting as a broker or otherwise associating with…

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