• Robert Rex, Esq.

Gregg Templeton – Former Oppenheimer & Co. Broker – Discloses $6.75M Customer Dispute – NYC
Gregg Templeton – Former Oppenheimer & Co. Broker – Discloses $6.75M Customer Dispute – NYC 150 150 Robert Rex, Esq.

JUNE 2017- New York, NY According to publicly available records Gregg D. Templeton (CRD#2412775) ,  a  former stockbroker who was previously registered with Oppenheimer & Co., discloses a prior regulatory event, a currently pending…

read more
  • Robert Rex, Esq.

John  J. Gorman IV-Former Tejas Securities Group Broker-Discloses Regulatory Matter-Austin, TX
John  J. Gorman IV-Former Tejas Securities Group Broker-Discloses Regulatory Matter-Austin, TX 150 150 Robert Rex, Esq.

June 2017- Austin, TX According to publicly available records     John  J. Gorman IV  (CRD#1070636) ,  a  stockbroker who is currently unregistered disclose a currently pending regulatory matter, 3 prior regulatory events,  2…

read more
  • Robert Rex, Esq.

Baris Dincer-Former J.H. Darbie Broker-Discloses Terminations-New York
Baris Dincer-Former J.H. Darbie Broker-Discloses Terminations-New York 150 150 Robert Rex, Esq.

June 2020- New York According to publicly available records Baris Dincer  (CRD#5637472) ,  a  stockbroker who currently is not currently registered and who was previously employed by Planner Securities, J.H. Darbie &…

read more
  • Robert Rex, Esq.

Austin, Texas-Former WFG Broker Named In Regulatory Complaint
Austin, Texas-Former WFG Broker Named In Regulatory Complaint 150 150 Robert Rex, Esq.

January 22, 2016- Austin, Texas Harvey B. Vaughn, Jr. was named in a disciplinary proceeding ( #2015045409001) filed ty the Financial Industry Regulatory Authority (FINRA) alleging that he willfully failed…

read more
Enter your
text here

You cannot copy content of this page