• Robert Rex, Esq.

Bill A. Holubec-Former Royal Alliance Stockbroker-Subject of Customer Suit-San Angelo, TX
Bill A. Holubec-Former Royal Alliance Stockbroker-Subject of Customer Suit-San Angelo, TX 150 150 Robert Rex, Esq.

October 2017-San Angelo, Texas We are investigating former Royal Alliance Associates stockbroker Bill A. Holubec. Publicly available records of Bill A. Holubec, (CRD# 1304064) , disclose that a Royal Alliance customer has filed…

read more
  • Robert Rex, Esq.

William J. Paynter, Jr.-Wells Fargo Broker Discloses Multiple Customer Complaints-Scottsdale, AZ
William J. Paynter, Jr.-Wells Fargo Broker Discloses Multiple Customer Complaints-Scottsdale, AZ 150 150 Robert Rex, Esq.

December 2018-Scottsdale, AZ William J. (“Bill John”) Paynter, Jr., (CRD#2835535) ,  a  stockbroker who is currently employed by Wells Fargo is the subject of a  currently pending customer dispute. He discloses the settlement…

read more
  • Robert Rex, Esq.

How to Recover Losses on Miller Energy Resources Investments
How to Recover Losses on Miller Energy Resources Investments 150 150 Robert Rex, Esq.

OCTOBER 2017 If you suffered losses as a result of following your broker’s recommendation to invest in Miller Energy Resources, contact us to find out how you may be able…

read more
  • Robert Rex, Esq.

Joseph Sterling-Geneos Wealth Management Broker-Subject of Customer Suits Over Real Estate Investments-Apple Valley, MN
Joseph Sterling-Geneos Wealth Management Broker-Subject of Customer Suits Over Real Estate Investments-Apple Valley, MN 150 150 Robert Rex, Esq.

October 2017-Apple Valley, MN The FINRA records of  Joseph H. Sterling ,  a  stockbroker who has been registered with Geneos Wealth Management since 2005 disclose 2 pending customer disputes. The Financial Industry Regulatory…

read more
  • Robert Rex, Esq.

Aldo Marchena-Former Northeast Securities Broker-Discloses Settlments to Customers and Regulatory Sanction-Boca Raton, FL
Aldo Marchena-Former Northeast Securities Broker-Discloses Settlments to Customers and Regulatory Sanction-Boca Raton, FL 150 150 Robert Rex, Esq.

UPDATE March 2019–Aldo Marchena, who is not currently registered with any broker dealer,  was recently permanently barred from the securities industry in Florida. He discloses four customer disputes on his…

read more
  • Robert Rex, Esq.

Losses on Tiburon Saltwater Reclamation Fund Private Placement ?
Losses on Tiburon Saltwater Reclamation Fund Private Placement ? 150 150 Robert Rex, Esq.

October 2017-Austin, Texas / Greenville, South Carolina If you lost money on the Tiburon Saltwater Reclamation Fund, we may be able to help you recover damages. FINRA (The Financial Industry…

read more
  • Robert Rex, Esq.

Paul V Blum-Former RBC Capital Broker- Sued by Clients for Unsuitable Trading-W. Palm Beach, FL
Paul V Blum-Former RBC Capital Broker- Sued by Clients for Unsuitable Trading-W. Palm Beach, FL 150 150 Robert Rex, Esq.

October 2017-West Palm Beach, FL The FINRA records of  Paul Vincent Blum ,  a  stockbroker who was previously employed by RBC Capital Markets disclose a prior regulatory event, 9 pending customer disputes and 14…

read more
  • Robert Rex, Esq.

William W. Marshall-Ameriprise Broker-Subject of Pending Customer Suits Alleging Fraud-Plano, TX
William W. Marshall-Ameriprise Broker-Subject of Pending Customer Suits Alleging Fraud-Plano, TX 150 150 Robert Rex, Esq.

April 2018-Plano, TX The FINRA records of  William W. Marshall ,  a  stockbroker who is currently registered with Ameriprise Financial Services disclose a prior regulatory event, 6 pending customer disputes including at least…

read more
  • Robert Rex, Esq.

San Antonio Based Investment Professionals Inc. Sanctioned for Unsuitable Advice
San Antonio Based Investment Professionals Inc. Sanctioned for Unsuitable Advice 150 150 Robert Rex, Esq.

October 2017-San Antonio, Texas San Antonio, Texas, based stock brokerage firm Investment Professionals, Inc.  (IPI)  recently was ordered by William F. Galvin of the Massachusetts Securities Division to pay a $100,000 fine…

read more
Enter your
text here

You cannot copy content of this page