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Peter Ianace- Former Wells Fargo Broker-Subject of $18M Suit-Barred From Industry by Securities Regulator-Plano, TX
Peter Ianace- Former Wells Fargo Broker-Subject of $18M Suit-Barred From Industry by Securities Regulator-Plano, TX 150 150 ER

Peter Ianace Investigation-Plano, TX  The FINRA records of  Peter Ianace ,  a  former financial advisor who was last employed by  Wells Fargo Clearing Services, disclose a regulatory event and three customer…

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  • Robert Rex, Esq.

Jason Poff-Allstate Financial Services-Discloses Customer Complaint & Suspension-Houston, TX
Jason Poff-Allstate Financial Services-Discloses Customer Complaint & Suspension-Houston, TX 150 150 Robert Rex, Esq.

September 2021- Houston, TX According to his FINRA record  Jason H. Poff , a financial advisor employed by Allstate Financial Services  discloses a final regulatory investigation resulting in suspension and…

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  • Robert Rex, Esq.

Investigation of Former Merrill Lynch Broker Forrest Jones & Knight Nguyen Investments -Conroe, TX
Investigation of Former Merrill Lynch Broker Forrest Jones & Knight Nguyen Investments -Conroe, TX 150 150 Robert Rex, Esq.

July 2021- Conroe, TX  We are investigating former Merrill Lynch financial advisor Forrest Andrew Jones & a now defunct investment advisory firm Knight Nguyen Investments. According to publicly available records, Forrest Jones discloses…

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  • Robert Rex, Esq.

Charles Kenahan-Former Merrill Lynch Broker-Discloses over $60M in Settlements of Customer Disputes- Boston, MA
Charles Kenahan-Former Merrill Lynch Broker-Discloses over $60M in Settlements of Customer Disputes- Boston, MA 150 150 Robert Rex, Esq.

August 2021- Boston, MA According to publicly available records, former Merrill Lynch, Pierce, Fenner & Smith  financial advisor Charles Kenahan,  discloses 2 regulatory events, 4 final customer disputes, one pending…

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  • Robert Rex, Esq.

John Loughran-UBS Financial Broker-Discloses $500K Pending Customer Dispute-NYC
John Loughran-UBS Financial Broker-Discloses $500K Pending Customer Dispute-NYC 150 150 Robert Rex, Esq.

April 2021- New York, NY According to publicly available records,   UBS Financial Services financial advisor John Loughran,  discloses a pending customer dispute and a prior settled customer dispute. The Financial Industry…

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  • Robert Rex, Esq.

Jeffrey Slothower-Former Private Client Services Broker-Discloses Regulatory Event and a Settled Customer Dispute-New York, NY
Jeffrey Slothower-Former Private Client Services Broker-Discloses Regulatory Event and a Settled Customer Dispute-New York, NY 150 150 Robert Rex, Esq.

November 2020- New York, NY According to publicly available records, former Private Client Services financial advisor Jeffrey Slothower,  was suspended  from the securities industry by FINRA. The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Charles Teixeira-UBS Financial Broker-Discloses Settled Customer Disputes and Pending Customer Disputes-New York, NY
Charles Teixeira-UBS Financial Broker-Discloses Settled Customer Disputes and Pending Customer Disputes-New York, NY 150 150 Robert Rex, Esq.

November 2020- New York, NY According to publicly available records,    UBS Financial Services, Inc.  financial advisor Charles S. Teixeira,  discloses 2 settled customer disputes and two pending customer disputes.…

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  • Robert Rex, Esq.

Jacquin P. Fink-Former Merrill Lynch Broker-Discloses almost $3.9M in Settlements and a Pending Customer Dispute-New York
Jacquin P. Fink-Former Merrill Lynch Broker-Discloses almost $3.9M in Settlements and a Pending Customer Dispute-New York 150 150 Robert Rex, Esq.

June 2020-New York According to publicly available records.  Jacquin P. Fink (CRD#207807), a  stockbroker who last worked for Merrill Lynch,  discloses 10 prior customer disputes and 1 pending customer dispute.…

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  • Robert Rex, Esq.

Daniel Rebmann-UBS Broker-Discloses Customer Disputes-San Antonio, TX
Daniel Rebmann-UBS Broker-Discloses Customer Disputes-San Antonio, TX 150 150 Robert Rex, Esq.

June 2020- San Antonio, TX The FINRA records of Daniel Rebmann, a broker currently employed  by UBS Financial Services, disclose two customer disputes. The Financial Industry Regulatory Authority (FINRA) is the agency that…

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  • Robert Rex, Esq.

Sofia T. Gonzalez-Former Merrill LynchBroker- Discloses 2 Regulatory Events and Termination-Houston, TX
Sofia T. Gonzalez-Former Merrill LynchBroker- Discloses 2 Regulatory Events and Termination-Houston, TX 150 150 Robert Rex, Esq.

April 2020-Houston, TX According to publicly available records.  Sofia T. Gonzalez (CRD#6243469), a  former stockbroker who last worked for Merrill Lynch, Pierce, Fenner & Smith Incorporated discloses 2 regulatory events, …

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