• Robert Rex, Esq.

Steven Harris-Former Transamerica Financial Broker-Barred from FINRA- Burr Ridge, IL
Steven Harris-Former Transamerica Financial Broker-Barred from FINRA- Burr Ridge, IL 150 150 Robert Rex, Esq.

April 2021- Burr Ridge, IL According to publicly available records, former Transamerica Financial Advisors, Inc.  financial advisor Steven Harris, discloses two regulatory events, a termination and has been barred from the…

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  • Robert Rex, Esq.

Jeffrey Alan Blutstein-Former Kestra Broker-Permanently Barred From FINRA-Holbrook, NY
Jeffrey Alan Blutstein-Former Kestra Broker-Permanently Barred From FINRA-Holbrook, NY 150 150 Robert Rex, Esq.

December  2020- Holbrook, NY According to publicly available records  Jeffrey Alan Blutstein (CRD#1398688), a  former stockbroker who last worked for American Portfolios Financial Services,  discloses a regulatory event and a…

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  • Robert Rex, Esq.

Charles Burchard-Former Allstate Financial Broker-Barred from Securities Industry-Spring, TX
Charles Burchard-Former Allstate Financial Broker-Barred from Securities Industry-Spring, TX 150 150 Robert Rex, Esq.

December 2020-Spring, TX According to publicly available records, former Allstate Financial Services, Inc.  financial advisor Charles Don Burchard has been barred from the securities industry. The Financial Industry Regulatory Authority (FINRA) is the…

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  • Robert Rex, Esq.

Keith Ashley-Parkland Securities Broker/ Allen Brewery Owner-Charged with Murder of Client-Carrollton, TX
Keith Ashley-Parkland Securities Broker/ Allen Brewery Owner-Charged with Murder of Client-Carrollton, TX 150 150 Robert Rex, Esq.

November 2020- Dallas, TX  ASHLEY ACCUSED OF MURDERING CLIENT AND STAGING COVERUP TO LOOK LIKE SUICIDE According to  Fox4 KDFW news, Nine Band Brewing owner and former Parkland Securities financial…

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  • Robert Rex, Esq.

Matthew King-Cambridge Investment Research Broker- Terminated From Employment-Corpus Christi, TX
Matthew King-Cambridge Investment Research Broker- Terminated From Employment-Corpus Christi, TX 150 150 Robert Rex, Esq.

June 2020- Corpus Christi, TX The FINRA records of Matthew J. King, a broker currently employed  by Cambridge Investment Research Advisors, Inc. , disclose a termination from employment. The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Michael Rappa-Former Foresters Equity Services Broker Barred from FINRA-Discloses Regulatory Event and Two Pending Customer Disputes-Rocklin, CA
Michael Rappa-Former Foresters Equity Services Broker Barred from FINRA-Discloses Regulatory Event and Two Pending Customer Disputes-Rocklin, CA 150 150 Robert Rex, Esq.

June 2020- San Diego, CA The FINRA records of Michael Rappa, a broker previously employed  by  Foresters Equity Services,  , disclose  a regulatory event resulting in his bar from the securities industry…

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  • Robert Rex, Esq.

Jun Zhou-Former The Leaders Group, Inc. Broker- Barred from FINRA-Chicago, IL
Jun Zhou-Former The Leaders Group, Inc. Broker- Barred from FINRA-Chicago, IL 150 150 Robert Rex, Esq.

April 2020- Chicago, IL The FINRA records of Jun Zhou, a broker previously employed  by  The Leaders Group, Inc. & Farmers Financial Solutions, disclose  a regulatory event resulting in her bar from…

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  • Robert Rex, Esq.

Ramon Esparza-Former Mutual of Omaha Financial Advisor-Barred from Securities Industry-McAllen, TX
Ramon Esparza-Former Mutual of Omaha Financial Advisor-Barred from Securities Industry-McAllen, TX 150 150 Robert Rex, Esq.

April  2020- McAllen, TX The FINRA records of Ramon Esparza  , a broker previously employed  by  Mutual of Omaha Investor Services, Inc. , disclose a regulatory event resulting in his bar from the securities industry and…

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  • Robert Rex, Esq.

Herbert “Elias” Hafen-Former Morgan Stanley Broker-Pleads Guilty to Fraud- New York, NY
Herbert “Elias” Hafen-Former Morgan Stanley Broker-Pleads Guilty to Fraud- New York, NY 150 150 Robert Rex, Esq.

November  2019- New York, NY The FINRA records of  Herbert “Elias” Hafen ,  a  financial advisor previously employed by  Morgan Stanley, disclose a prior regulatory event,  a pending criminal matter, a…

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  • Robert Rex, Esq.

Justin Mitchell- Capital Financial Services Broker-Discloses Investigation & Termination-Baton Rouge, LA
Justin Mitchell- Capital Financial Services Broker-Discloses Investigation & Termination-Baton Rouge, LA 150 150 Robert Rex, Esq.

February 2019 – Baton Rouge, LA According to publicly available records  Justin Brian Mitchell (CRD# 5177794) ,  a   stockbroker currently employed by Capital Financial Services who was previously employed by LPL Financial,…

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