Promissory Notes

  • Robert Rex, Esq.

Donna Barnard-Former Signal Securities Broker-Subject of $4M Woodbridge Fund Suits-Kilgore, TX
Donna Barnard-Former Signal Securities Broker-Subject of $4M Woodbridge Fund Suits-Kilgore, TX 150 150 Robert Rex, Esq.

May 2018- Kilgore, TX The FINRA records of  Donna L. Barnard ,  a  stock broker formerly employed by HD Vest Investment Services and Signal Securities,  disclose  10  pending customer disputes involving the allegedly fraudulent Woodbridge Mortgage Investment…

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  • Robert Rex, Esq.

Michael J Blake-Former Ameritas Investment Corp. Broker-Disclose Numerous Customer Disputes Over Promissory Note Sales-Paradise Valley, AZ
Michael J Blake-Former Ameritas Investment Corp. Broker-Disclose Numerous Customer Disputes Over Promissory Note Sales-Paradise Valley, AZ 150 150 Robert Rex, Esq.

March 2018-Paradise Valley, AZ The FINRA records of  Michael J. Blake ,  a  stockbroker who is currently unregistered and who last was employed by  Mid Atlantic Capital Corp. disclose 2 prior regulatory…

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  • Robert Rex, Esq.

SEC Files Action Over Verto Notes-Dallas & Plano, Texas
SEC Files Action Over Verto Notes-Dallas & Plano, Texas 150 150 Robert Rex, Esq.

July 2017-Dallas and Plano, Texas Two Texas firms and three individuals employed by the firms were named in an enforcement proceeding filed by the U.S. Securities and Exchange Commission over…

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  • Robert Rex, Esq.

Hemant Kathuria-Euro Pacific Capital Broker-Discloses Customer Arbitration Over Private Placement Investments-El Segundo, CA
Hemant Kathuria-Euro Pacific Capital Broker-Discloses Customer Arbitration Over Private Placement Investments-El Segundo, CA 150 150 Robert Rex, Esq.

May 2017- El Segundo, CA The FINRA records of  Hemant Kathuria ,  a  stockbroker who is currently employed by  Euro Pacific Capital disclose 1 pending customer dispute and 3 prior final customer disputes. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Terrell Lady-Former VSR Financial Services Broker-Discloses Settlement of Alt Investment-Williamsburg, VA
Terrell Lady-Former VSR Financial Services Broker-Discloses Settlement of Alt Investment-Williamsburg, VA 150 150 Robert Rex, Esq.

April 2017-Williamsburg, VA The FINRA records of  Terrell Calvin Lady ,  a  stockbroker who is currently  employed by  DFPG Investments  disclose a prior final customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…

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  • Robert Rex, Esq.

Frank Scarito-Former VSR Financial Services Broker-Discloses Settlement of Customer Dispute-Manchester, NH
Frank Scarito-Former VSR Financial Services Broker-Discloses Settlement of Customer Dispute-Manchester, NH 150 150 Robert Rex, Esq.

April 2017-Manchester, NH The FINRA records of  Frank Charles Scarito ,  a  stockbroker who is currently  employed by  Berthel, Fisher & Co.  disclose a prior final customer dispute that was resolved with a cash…

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  • Robert Rex, Esq.

Jorge Reyes-Former CP Capital Securities Broker-Discloses Regulatory Complaint-Miami, FL
Jorge Reyes-Former CP Capital Securities Broker-Discloses Regulatory Complaint-Miami, FL 150 150 Robert Rex, Esq.

UPDATE February 2019-In December FINRA named Reyes in a complaint alleging that he made fraudulent representations and omissions of material fact in connection with the sale of Regulation D securities.…

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  • Robert Rex, Esq.

Daniel C. Stewart-Former VSR Financial Services Broker-Discloses Customer Dispute-Shawnee, KS
Daniel C. Stewart-Former VSR Financial Services Broker-Discloses Customer Dispute-Shawnee, KS 150 150 Robert Rex, Esq.

April 2017-Shawnee, KS The FINRA records of  Daniel C. Stewart ,  a  stockbroker who was formerly  employed by  VSR Financial Services  disclose a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…

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  • Robert Rex, Esq.

Dennis Van Patter-Former VSR Financial Services Broker-Discloses Pending Customer Disputes-Plano, TX
Dennis Van Patter-Former VSR Financial Services Broker-Discloses Pending Customer Disputes-Plano, TX 150 150 Robert Rex, Esq.

February  2017-Plano, Texas According to public records former VSR Financial Services broker Dennis Van Patter discloses a prior final regulatory event, 7 prior customer disputes that are final and 3 pending customer…

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