MML Investors Services

  • Robert Rex, Esq.

Timothy Cooney-Former Allstate Financial Broker-Permanently Barred From FINRA- Sandwich, MA
Timothy Cooney-Former Allstate Financial Broker-Permanently Barred From FINRA- Sandwich, MA 150 150 Robert Rex, Esq.

July 2021- Sandwich, MA According to publicly available records Timothy Cooney (CRD#2946727), a  former stockbroker who last worked for Allstate Financial Services,  has been permanently barred from FINRA. The Financial…

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  • Robert Rex, Esq.

Floyd Powell-Former MML Investors Services Broker- Discloses Regulatory Event & 5 Customer Disputes-Albertville, AL
Floyd Powell-Former MML Investors Services Broker- Discloses Regulatory Event & 5 Customer Disputes-Albertville, AL 150 150 Robert Rex, Esq.

April 2019 – Albertville, AL According to publicly available records Floyd Earl Powell  (CRD#2220029) ,  a  stockbroker who is currently not registered,  discloses a regulatory event, 2 pending and 3 final…

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  • Robert Rex, Esq.

Thomas H. Oliphint-Discloses Discharge from LPL Financial-San Antonio, TX
Thomas H. Oliphint-Discloses Discharge from LPL Financial-San Antonio, TX 150 150 Robert Rex, Esq.

October 2017-San Antonio, TX  We are currently investigating Thomas H. Oliphint , (CRD#1172870) ,  a  stockbroker who is not currently registered and who last was employed by LPL Financial until he was discharged for…

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  • Robert Rex, Esq.

Kyle J. Gardner-Former MML Investor Services Broker-Discloses Customer Dispute Over REITs-Plano, TX
Kyle J. Gardner-Former MML Investor Services Broker-Discloses Customer Dispute Over REITs-Plano, TX 150 150 Robert Rex, Esq.

May 2017- Plano, Texas The FINRA records  of Kyle J. Gardner,  a  stockbroker who is currently employed by  SCF Securities   disclose a pending  customer dispute for losses on investments in real estate investment trusts (REITs). The…

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  • Robert Rex, Esq.

Leslie R. Rosenblatt of Texas Financial Resources Discloses Customer Dispute/Termination of Employment-Plano, TX
Leslie R. Rosenblatt of Texas Financial Resources Discloses Customer Dispute/Termination of Employment-Plano, TX 150 150 Robert Rex, Esq.

April 2017-Plano, TX The FINRA records of  Leslie R. Rosenblatt ,  a  stockbroker who is currently registered with SCF Securities disclose a pending customer dispute and a termination from employment. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Stanley Niekras-Former Purshe Kaplan Broker-Charged in Regulatory Complaint Alleging Financial Abuse of Elderly
Stanley Niekras-Former Purshe Kaplan Broker-Charged in Regulatory Complaint Alleging Financial Abuse of Elderly 150 150 Robert Rex, Esq.

November 2016-Watertown, New York The FINRA records of  Stanley C. Niekras,  a  stockbroker who was formerly  employed by  Purshe Kaplan Sterling Investments disclose 7 prior customer disputes that have been resolved and a currently pending regulatory…

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  • Robert Rex, Esq.

Former MML Investors Services Broker From Neptune Beach, FL, Arrested in Iowa for Forgery & Theft
Former MML Investors Services Broker From Neptune Beach, FL, Arrested in Iowa for Forgery & Theft 150 150 Robert Rex, Esq.

July 1, 2015 The Financial Industry Regulatory Authority (FINRA) entered a default decision against Jeffrey Alan Stewart barring him from associating with any FINRA member in any capacity for converting…

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  • Robert Rex, Esq.

Phil Williamson Charged in South Florida Securities Fraud
Phil Williamson Charged in South Florida Securities Fraud 150 150 Robert Rex, Esq.

June 1, 2015 Phil D. Williamson, 48, of Miami, Florida, was charged with investment advisor fraud according to an FBI Press Release which reports that he raised over two million…

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  • Robert Rex, Esq.

Former NEXT Financial Broker in Virginia Charged with Defrauding Texas Citizens
Former NEXT Financial Broker in Virginia Charged with Defrauding Texas Citizens 150 150 Robert Rex, Esq.

March 2, 2015 A Criminal Information was filed by the United States of America vs. Joshua Ray  Abernathy, of Norfolk Virginia, charging him with mail fraud, unlawful monetary transactions and…

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