• Robert Rex, Esq.

Roger B. Deal-Former Royal Alliance Broker-Discloses $3.2M Customer Dispute over Real Estate Investment
Roger B. Deal-Former Royal Alliance Broker-Discloses $3.2M Customer Dispute over Real Estate Investment 150 150 Robert Rex, Esq.

July 2016- Columbus, Nebraska The FINRA records of Roger B. Deal  , a stock broker currently employed by Geneos Wealth Management , disclose  a currently pending customer dispute . The Financial Industry Regulatory Authority (FINRA) is the…

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  • Robert Rex, Esq.

Tonya M. White-Former Edward Jones Broker-Permanently Barred From Securities Industry
Tonya M. White-Former Edward Jones Broker-Permanently Barred From Securities Industry 150 150 Robert Rex, Esq.

Oklahoma City, OK According to FINRA records,  Tonya M. White (aka Tonya M. Nix)  ,   a stockbroker who formerly worked for Edward Jones  discloses a final regulatory matter and a separation from employment after…

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  • Robert Rex, Esq.

Eric W. Harding-Former Wells Fargo Broker-Discloses Terminations-Scottsdale, AZ
Eric W. Harding-Former Wells Fargo Broker-Discloses Terminations-Scottsdale, AZ 150 150 Robert Rex, Esq.

UPDATE APRIL 2017–United Planners Financial Services of America discloses that Eric W. Harding was discharged 10/2016 for “Failure to follow firm procedures and repay amounts owed to the firm.” ORIGINAL…

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  • Robert Rex, Esq.

Murray B. Roark-Wunderlich Securities Broker-Discloses Pending Customer Dispute Over Energy Investments
Murray B. Roark-Wunderlich Securities Broker-Discloses Pending Customer Dispute Over Energy Investments 150 150 Robert Rex, Esq.

Dallas, Texas According to FINRA records,  Murray B. Roark,  a stockbroker  who works for Wunderlich Securities ,  discloses  a pending customer dispute and  three prior final customer disputes. The Financial Industry Regulatory Authority (FINRA) is the…

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  • Robert Rex, Esq.

Clint Smith-Former Edward Jones Broker-Barred From Securities Industry-Beaumont, Texas
Clint Smith-Former Edward Jones Broker-Barred From Securities Industry-Beaumont, Texas 150 150 Robert Rex, Esq.

UPDATED JULY 2018 Lumberton/Beaumont , Texas According to FINRA records,  Wesley “Clint” Smith ,  a stockbroker  who formerly worked  for Edward Jones discloses  a pending customer dispute, 7 prior customer disputes and one final…

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  • Robert Rex, Esq.

Investors Capital Corp. Discloses 22 Regulatory Issues-Withdraws FINRA Registration
Investors Capital Corp. Discloses 22 Regulatory Issues-Withdraws FINRA Registration 150 150 Robert Rex, Esq.

UPDATE APRIL 2018-In December 2017, Investors Capital Corp. was hit with another FINRA regulatory sanction involving mutual funds. The firm was censured and agreed to pay $437,674 in restitution to…

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  • Robert Rex, Esq.

Jack G. Merritt-Crown Capital Broker-Discloses Customer Dispute Over Oil & Gas Investments
Jack G. Merritt-Crown Capital Broker-Discloses Customer Dispute Over Oil & Gas Investments 150 150 Robert Rex, Esq.

August 2019-Huntington Beach, CA According to FINRA records,  Jack G. Merritt ,  a stockbroker  who works  for Crown Capital Securities  discloses  the settlement of a  customer dispute . The Financial Industry Regulatory Authority (FINRA) is…

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  • Robert Rex, Esq.

Legend Securities Loses Arbitration Hearing Brought by Former Customer
Legend Securities Loses Arbitration Hearing Brought by Former Customer 150 150 Robert Rex, Esq.

Tampa, Florida A Financial Industry Regulatory Authority (FINRA) arbitration panel awarded damages of over $150,000 to two former customers of Legend Securities, Inc. who brought the action for losses suffered…

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  • Robert Rex, Esq.

Richard M. Ohlhaber-Former Southwest Securities Broker-Discloses Pending Customer Disputes/Regulatory Actions-Grapevine, TX
Richard M. Ohlhaber-Former Southwest Securities Broker-Discloses Pending Customer Disputes/Regulatory Actions-Grapevine, TX 150 150 Robert Rex, Esq.

June 2016-Grapevine, Texas According to FINRA records,  Richard M. Ohlhaber ,   a stockbroker  who most recently was  employed by FSC Securities Corp., Inc. , discloses two pending customer disputes. He also discloses  3 prior final regulatory events…

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