• Robert Rex, Esq.

John Waszolek-Former Raymond James Broker-Barred From Industry For Unethical Behavior With Elderly Client
John Waszolek-Former Raymond James Broker-Barred From Industry For Unethical Behavior With Elderly Client 150 150 Robert Rex, Esq.

July 13, 2015-Scottsdale, AZ John Anthony Waszolek  entered into an Order Accepting Offer of Settlement (Order) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that accepted appointment as trustee and…

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  • Robert Rex, Esq.

Raymond James Agrees to Return $4.4 Million in Mutual Fund Overcharges
Raymond James Agrees to Return $4.4 Million in Mutual Fund Overcharges 150 150 Robert Rex, Esq.

July 6, 2015 Raymond James & Associates  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from July 2009…

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  • Robert Rex, Esq.

Mark A. Bullivant-Former Raymond James Broker- Sanctioned by Securities Regulators
Mark A. Bullivant-Former Raymond James Broker- Sanctioned by Securities Regulators 150 150 Robert Rex, Esq.

June 10, 2015 According to FINRA records, Mark Andrew Bullivant, of Fort Myers, Florida,  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA)…

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  • Robert Rex, Esq.

David Harari-San Antonio Stock Broker Sanctioned by Regulator
David Harari-San Antonio Stock Broker Sanctioned by Regulator 150 150 Robert Rex, Esq.

March 9, 2015- San Antonio, Texas  The National Adjudicatory Council of the Financial Industry Regulatory Authority (FINRA) issued a decision in Complaint No. 20111025899601 , affirming and modifying sanctions against David Harari…

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