• Robert Rex, Esq.

Cecil Allen Ross- LPL Financial Broker- Discloses Customer Dispute- San Angelo, TX
Cecil Allen Ross- LPL Financial Broker- Discloses Customer Dispute- San Angelo, TX 150 150 Robert Rex, Esq.

November 2018-San Angelo, TX According to publicly available records Cecil Allen Ross , (CRD# 2391047) ,  a  stockbroker who was previously registered with Raymond James Financial Services, Inc.,  disclose a prior customer dispute .  The…

read more
  • Robert Rex, Esq.

Robert Abramowitz- National Securities Corp. Broker- Discloses Customer Disputes- Melville, NY
Robert Abramowitz- National Securities Corp. Broker- Discloses Customer Disputes- Melville, NY 150 150 Robert Rex, Esq.

October 2018- Melville, NY According to publicly available records  Robert Abramowitz (CRD#4457589), a stockbroker who is registered with National Securities Corp.  disclose a prior customer dispute and 2 pending customer disputes..…

read more
  • Robert Rex, Esq.

James E. Lyons-Former Raymond James Broker-Subject of $5M Customer Suit-Shreveport, LA
James E. Lyons-Former Raymond James Broker-Subject of $5M Customer Suit-Shreveport, LA 150 150 Robert Rex, Esq.

July 2018-Shreveport, LA The FINRA records of former Raymond James broker James Edward Lyons disclose that he was recently barred from the securities industry and 1 pending and 5 prior customer disputes…

read more
  • Robert Rex, Esq.

George E. Mathis-Raymond James Broker-Discloses Customer Suit-The Villages, FL
George E. Mathis-Raymond James Broker-Discloses Customer Suit-The Villages, FL 150 150 Robert Rex, Esq.

June 2018-The Villages, Florida According to FINRA records, George Edward Mathis, a broker who is employed by Raymond James, discloses a pending customer dispute, 4 prior customer disputes and a…

read more
  • Robert Rex, Esq.

Lewis (Buddy) Rogers-Raymond James Broker-Former Client Awarded Over $250K For Unsuitable MLP Investments-Dallas, TX
Lewis (Buddy) Rogers-Raymond James Broker-Former Client Awarded Over $250K For Unsuitable MLP Investments-Dallas, TX 150 150 Robert Rex, Esq.

March 2018-Dallas, Texas Lewis H. Rogers, a broker who has worked for Raymond James & Associates since 2/2013, discloses on his FINRA records that an all public FINRA arbitration panel…

read more
  • Robert Rex, Esq.

Thomas W. O’Brien-Raymond James Broker-Subject of $5M Customer Dispute-Shreveport, LA
Thomas W. O’Brien-Raymond James Broker-Subject of $5M Customer Dispute-Shreveport, LA 150 150 Robert Rex, Esq.

February 2018-Shreveport, LA The FINRA records of  Thomas W. O’Brien,  a  stockbroker who is currently employed by Raymond James & Assoc. disclose 2 pending customer disputes and 2 prior final customer disputes.…

read more
  • Robert Rex, Esq.

Kelly G. Richards-First Allied Securities Broker-Discloses Prior Termination-Phoenix, AZ
Kelly G. Richards-First Allied Securities Broker-Discloses Prior Termination-Phoenix, AZ 150 150 Robert Rex, Esq.

August  2018- The FINRA records of  Kelly Gene Richards , (CRD 4918409),   a  stockbroker who is currently  employed by  First Allied Securities, disclose a prior termination from employment. The Financial Industry Regulatory Authority…

read more
  • Robert Rex, Esq.

Todd D. Ryman -Suntrust Investment Services Broker-Discloses Customer Disputes-Atlanta, GA
Todd D. Ryman -Suntrust Investment Services Broker-Discloses Customer Disputes-Atlanta, GA 150 150 Robert Rex, Esq.

June 2017 – Atlanta, GA The FINRA records of Todd D. Ryman ,  a  stockbroker previously employed with  Raymond James & Associates, Inc.  disclose  a prior regulatory matter and 6 customer disputes. The…

read more
Enter your
text here

You cannot copy content of this page