• Robert Rex, Esq.

Riek Capital/RIEK Capital Distributors-Texas Securities Regulator Issues Cease & Desist
Riek Capital/RIEK Capital Distributors-Texas Securities Regulator Issues Cease & Desist 150 150 Robert Rex, Esq.

September 2021- Austin, TX  Texas Securities Commissioner  Travis J. Iles, of the Texas State Securities Board entered an emergency cease and desist order to stop Riek Capital (aka Riek Capital Investment, aka…

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  • Robert Rex, Esq.

Anthony Sica-Joseph Gunnar Broker-Subject of $750K Customer Suit-New York
Anthony Sica-Joseph Gunnar Broker-Subject of $750K Customer Suit-New York 150 150 Robert Rex, Esq.

September 2021- New York The FINRA records of Anthony Sica  , a stock broker who is employed by Joseph Gunnar & Co. , disclose a pending customer suit,  3 regulatory sanctions and  3 prior…

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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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John Westbrook – Former Center Street Securities Broker- Discloses Regulatory Event, Customer Dispute and a Termination- Jackson Gap, AL
John Westbrook – Former Center Street Securities Broker- Discloses Regulatory Event, Customer Dispute and a Termination- Jackson Gap, AL 150 150 ER

September 2021- Jackson Gap, AL According to publicly available records John Westbrook,  a currently unregistered broker who previously was employed by Center Street Securities,  discloses a regulatory event, a pending…

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William Calvert-UBS Broker- Discloses Pending Customer Dispute Involving Options Overlay Strategy-Los Angeles, CA
William Calvert-UBS Broker- Discloses Pending Customer Dispute Involving Options Overlay Strategy-Los Angeles, CA 150 150 ER

September 2021 – Los Angeles, CA According to publicly available records William S. Calvert,  a broker with UBS Financial discloses a customer dispute. The Financial Industry Regulatory Authority (FINRA) is…

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Marisa Quintero- Former J.P. Morgan Broker- Permanently Barred By Securities Regulator – Spring, TX
Marisa Quintero- Former J.P. Morgan Broker- Permanently Barred By Securities Regulator – Spring, TX 150 150 ER

August 2021- Spring, TX According to publicly available records,  Marisa K. Quintero a currently unregistered financial advisor who was last registered with J.P. Morgan, discloses a prior regulatory event and…

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  • Robert Rex, Esq.

Texas Securities Regulator Stops Sex Offender’s Fraudulent Real Estate Deal-Dallas, TX
Texas Securities Regulator Stops Sex Offender’s Fraudulent Real Estate Deal-Dallas, TX 150 150 Robert Rex, Esq.

September 2021- White Settlement, Texas  The Texas State Securities Board (TSSB) issued an Emergency Cease and Desist Order against the following Respondents: PB& Associates LLC, a Texas limited liability company…

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  • Robert Rex, Esq.

Christopher Orlando- Former Spartan Capital Broker- Barred From Industry by Regulator-Staten Island, NY
Christopher Orlando- Former Spartan Capital Broker- Barred From Industry by Regulator-Staten Island, NY 150 150 Robert Rex, Esq.

September 2021- Staten Island, NY The FINRA records of  Christopher G. Orlando ,  a  former financial advisor who was last employed by  Spartan Capital Securities disclose a regulatory event and two…

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  • Robert Rex, Esq.

Nathan Katz- Former American Independent Securities Broker- Discloses Regulatory Event and Customer Suits-Largo, FL
Nathan Katz- Former American Independent Securities Broker- Discloses Regulatory Event and Customer Suits-Largo, FL 150 150 Robert Rex, Esq.

September 2021- Largo, FL  According to publicly available records,  Nathan G. Katz a former financial advisor who was previously registered with American Independent Securities Group, discloses a regulatory event barring him from…

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