• Robert Rex, Esq.

Donald L. Watson-Former Jeffrey Matthews Broker- Discloses Discharge from Employment
Donald L. Watson-Former Jeffrey Matthews Broker- Discloses Discharge from Employment 150 150 Robert Rex, Esq.

UPDATE April 2018– IN 3/2017 FINRA permanently barred Donald Lee Watson, Jr. from the securities industry for refusing to cooperate with a FINRA investigation. November 2016-Sarasota, FL The FINRA records of  Donald…

read more
  • Robert Rex, Esq.

Bryan O. Eberle-Former LPL Financial Broker-Discloses 2 Terminations From Employment
Bryan O. Eberle-Former LPL Financial Broker-Discloses 2 Terminations From Employment 150 150 Robert Rex, Esq.

August 2016- Marlton, NJ The FINRA records of  Bryan O. Eberle,  a  stock broker who is currently employed by Client One Securities  disclose  two terminations from employment. The Financial Industry Regulatory Authority (FINRA) is the agency…

read more
  • Robert Rex, Esq.

Steve D. Heath-Former LPL Financial Broker-Discloses Termination From Employment
Steve D. Heath-Former LPL Financial Broker-Discloses Termination From Employment 150 150 Robert Rex, Esq.

July 2016-Newport News, VA The FINRA records of Steve D. Heath ,  a  stock broker who is currently  employed  by Capitol Securities Management  , disclose 2 terminations and one final financial event. The Financial Industry Regulatory Authority (FINRA) is…

read more
  • Robert Rex, Esq.

Larry S. Werbel Discloses Customer Dispute Over Investment in VGTL and QLTS
Larry S. Werbel Discloses Customer Dispute Over Investment in VGTL and QLTS 150 150 Robert Rex, Esq.

UPDATE August 2016-Disclosure that another customer dispute has been filed. In July 2016 a customer of LPL Financial alleged damages of $19,995 for unsuitable penny stock trading and failure to…

read more
  • 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,…

read more
  • 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…

read more
  • Robert Rex, Esq.

Charles Caleb Fackrell-Former LPL Financial Broker-Sentenced for Ponzi Scheme
Charles Caleb Fackrell-Former LPL Financial Broker-Sentenced for Ponzi Scheme 150 150 Robert Rex, Esq.

UPDATE ON CHARLES FACKRELL-December 2016-Charles Fackrell, 37, of Booneville, N. Carolina was sentenced to 63 months in jail according to the U.S. Attorney’s Office for operating a $1.4 million Ponzi…

read more
  • Robert Rex, Esq.

Larry Werbel’s Co-Conspirator Edward Durante Extradited From Germany
Larry Werbel’s Co-Conspirator Edward Durante Extradited From Germany 150 150 Robert Rex, Esq.

The FBI announced the arrest and extradition of repeat securities fraud offender Edward Durante, also known as:  Ted Wise Efran Eisenberg Yulia Ed Simmons Durante was arrested in Germany and…

read more
  • Robert Rex, Esq.

Larry Werbel Indicted For Securities Fraud & Ordered to Pay $100,000 by FINRA Arbitrators- In the Same Week
Larry Werbel Indicted For Securities Fraud & Ordered to Pay $100,000 by FINRA Arbitrators- In the Same Week 150 150 Robert Rex, Esq.

February 24, 2016- Cleveland, Ohio A Financial Industry Regulatory Authority (FINRA) arbitration panel ordered former Summit Brokerage Services stockbroker Larry Werbel , who operated Evolution Partners Wealth Management of Chagrin Falls,…

read more
  • Robert Rex, Esq.

Lawrence Miller-Former LPL FInancial Broker-Barred from Industry
Lawrence Miller-Former LPL FInancial Broker-Barred from Industry 150 150 Robert Rex, Esq.

February 11, 2016- Plantation, Florida Lawrence Leslie Miller entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  he refused to provide…

read more
Enter your
text here

You cannot copy content of this page