• Robert Rex, Esq.

Michael Ralby-Former Morgan Stanley Smith Barney Broker- Barred From Securities Industry- Boca Raton – FL
Michael Ralby-Former Morgan Stanley Smith Barney Broker- Barred From Securities Industry- Boca Raton – FL 150 150 Robert Rex, Esq.

February 2020- Boca Raton, FL According to publicly available records  Michael B. Ralby (CRD#1301072), a stockbroker who formerly was registered with Morgan Stanley Smith Barney, disclose a regulatory event, 3…

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  • Robert Rex, Esq.

Thomas Meier – Former Morgan Stanley Broker- Discloses 14 Customer Disputes- Miami, FL
Thomas Meier – Former Morgan Stanley Broker- Discloses 14 Customer Disputes- Miami, FL 150 150 Robert Rex, Esq.

January 2020 – Miami, FL According to publicly available records Thomas Alan Meier  (CRD#1146044) ,  a  former stockbroker who was last registered with Morgan Stanley,  disclose a Regulatory Event and 14 prior customer disputes.…

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  • Robert Rex, Esq.

Matthew Singer- Former Morgan Stanley Broker-Customer Suits Over Option Investments- Aventura, FL
Matthew Singer- Former Morgan Stanley Broker-Customer Suits Over Option Investments- Aventura, FL 150 150 Robert Rex, Esq.

January 2020 – Aventura, FL The FINRA records of  Matthew Singer,  a  broker previously employed by Morgan Stanley Smith Barney disclose 3 prior customer disputes and a regulatory event. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Michael Christians-Former Morgan Stanley Broker-Discloses Regulatory Investigation-Plano, TX
Michael Christians-Former Morgan Stanley Broker-Discloses Regulatory Investigation-Plano, TX 150 150 Robert Rex, Esq.

June 2018- Plano, TX The FINRA records of Michael S. Christians  , a stock broker who is not currently registered and who was last employed by Morgan Stanley , disclose a currently pending regulatory event,…

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  • Robert Rex, Esq.

Charles Lawrence-Former R.F. Lafferty Broker-Barred From Industry For Exploitation of Elderly Customer- Palm Harbor, FL
Charles Lawrence-Former R.F. Lafferty Broker-Barred From Industry For Exploitation of Elderly Customer- Palm Harbor, FL 150 150 Robert Rex, Esq.

January 2020 -Palm Harbor, Florida The FINRA records of  Charles Joseph Lawrence,  a  former stockbroker who was last employed by  R. F. Lafferty & Co.  disclose a final regulatory matter resulting…

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  • Robert Rex, Esq.

Tom Brolle Investigation-Former Morgan Stanley Broker-Newton, PA
Tom Brolle Investigation-Former Morgan Stanley Broker-Newton, PA 150 150 Robert Rex, Esq.

May 2018-Newton, PA According to FINRA records, Bruce Thomas Brolle ,  a stockbroker who is not currently registered with any broker dealer, discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is…

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  • Robert Rex, Esq.

Losses on an Investment in Tezos? Options for Recovery
Losses on an Investment in Tezos? Options for Recovery 150 150 Robert Rex, Esq.

April 2018-New York Arthur R. Meunier (a/k/a Robert Breitman, a/k/a Robert Meunier-Breitman) entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) agreeing…

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  • Robert Rex, Esq.

Kyle Ridenour-Wells Fargo Stockbroker-Subject of Customer Suit Alleging Investments in High Risk/Speculative Stocks-Edmond, OK
Kyle Ridenour-Wells Fargo Stockbroker-Subject of Customer Suit Alleging Investments in High Risk/Speculative Stocks-Edmond, OK 150 150 Robert Rex, Esq.

January 2019- Edmond, Oklahoma The FINRA records of David Kyle Ridenour , a stockbroker who is currently employed  by Wells Fargo Clearing Services , disclose three prior customer disputes. The Financial Industry Regulatory Authority (FINRA) is…

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  • Robert Rex, Esq.

Vicente Davila-Former Morgan Stanley Broker-Discloses Sanction/Customer Complaint/Discharged From Employment-Houston, TX
Vicente Davila-Former Morgan Stanley Broker-Discloses Sanction/Customer Complaint/Discharged From Employment-Houston, TX 150 150 Robert Rex, Esq.

March 2019- Houston, TX The FINRA records of Vicente Davila, a former stockbroker who was last employed by Morgan Stanley , disclose a recent regulatory sanction, a recently resolved customer dispute,  and a…

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  • Robert Rex, Esq.

Richard Shotz-Former Morgan Stanley Broker-Suspended by Regulator for Sale of UITs-Daytona Beach, FL
Richard Shotz-Former Morgan Stanley Broker-Suspended by Regulator for Sale of UITs-Daytona Beach, FL 150 150 Robert Rex, Esq.

March 2018- Daytona Beach, Florida The FINRA records of  Richard Alan Shotz  ,  a  stockbroker who was last employed by  Wells Fargo and Morgan Stanley disclose a recent regulatory matter resulting in his suspension. The…

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