• Robert Rex, Esq.

Billy Fox-First Allied Securities Broker-Discloses Pending Customer Dispute-Austin, TX
Billy Fox-First Allied Securities Broker-Discloses Pending Customer Dispute-Austin, TX 150 150 Robert Rex, Esq.

February 2020-Austin, Texas The FINRA records of  William F.  “Billy” Fox,  a  stockbroker who is currently employed by  First Allied Securities  disclose 2 prior customer disputes that are final and one currently pending…

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  • Robert Rex, Esq.

Randall A. Heller -KCD Financial Broker-Discloses Customer Dispute Over REIT Investment
Randall A. Heller -KCD Financial Broker-Discloses Customer Dispute Over REIT Investment 150 150 Robert Rex, Esq.

August 2016- Oak Lawn, IL The FINRA records of Randall A. Heller ,  a  stock broker who is currently  employed by KCD Financial, Inc.  disclose a currently pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…

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  • Robert Rex, Esq.

Larry D. Freie-Former Sunset Financial Services Broker-Discloses Customer Disputes
Larry D. Freie-Former Sunset Financial Services Broker-Discloses Customer Disputes 150 150 Robert Rex, Esq.

August 2016- Lincoln, NE The FINRA records of Larry D. Freie ,  a  stock broker who is currently  employed by Ameritas Investment Corp.  disclose a prior customer dispute and one currently pending customer dispute. The Financial Industry…

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  • Robert Rex, Esq.

Joel E. Archer-Summit Brokerage Services Broker-Discloses Pending Customer Dispute-Arden Arcade, CA
Joel E. Archer-Summit Brokerage Services Broker-Discloses Pending Customer Dispute-Arden Arcade, CA 150 150 Robert Rex, Esq.

August  2016-Arden Arcade, CA The FINRA records of Joel E. Archer ,  a  stock broker who is currently employed by Summit Brokerage Services , disclose a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that…

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  • Robert Rex, Esq.

Thomas J. Dailey-Sterne Agee Financial Broker-Discloses $500K Customer Dispute
Thomas J. Dailey-Sterne Agee Financial Broker-Discloses $500K Customer Dispute 150 150 Robert Rex, Esq.

July 2016-Youngstown, Ohio The FINRA records of Thomas J. Dailey ,  a stock broker who is currently employed by Sterne Agee Financial Services, disclose  a currently pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is…

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  • Robert Rex, Esq.

Matthew T. Flynn-L.M. Kohn Broker-Discloses Customer Dispute Over REIT Investment
Matthew T. Flynn-L.M. Kohn Broker-Discloses Customer Dispute Over REIT Investment 150 150 Robert Rex, Esq.

July 2016- Troy, Michigan The FINRA records of Matthew T. Flynn  , a stock broker employed by L.M. Kohn & Company, disclose  a pending customer arbitration, a prior final financial disclosure and a prior termination. The…

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  • Robert Rex, Esq.

Investors Capital Corp. Discloses 22 Regulatory Issues-Withdraws FINRA Registration
Investors Capital Corp. Discloses 22 Regulatory Issues-Withdraws FINRA Registration 150 150 Robert Rex, Esq.

UPDATE APRIL 2018-In December 2017, Investors Capital Corp. was hit with another FINRA regulatory sanction involving mutual funds. The firm was censured and agreed to pay $437,674 in restitution to…

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  • Robert Rex, Esq.

Richard J. Reynolds-Northland Securities Broker-Discloses Pending Customer Dispute Over Alternative Investments
Richard J. Reynolds-Northland Securities Broker-Discloses Pending Customer Dispute Over Alternative Investments 150 150 Robert Rex, Esq.

Minneapolis, MN According to FINRA records, Richard J. Reynolds ,  a broker who has been  registered  with Northland Securities since  9/2002 , discloses a pending customer dispute and a prior dispute that has been settled. The…

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  • Robert Rex, Esq.

Edgar A. Thomas-Former Investors Capital Broker-Discloses Customer Dispute
Edgar A. Thomas-Former Investors Capital Broker-Discloses Customer Dispute 150 150 Robert Rex, Esq.

Lakeland, Florida According to FINRA records, Edgar A. Thomas ,  a broker who is currently registered  with Calton & Assoc. , discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…

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  • Robert Rex, Esq.

Thomas Fross-SII Investments Stockbroker Discloses Customer Dispute-The Villages, FL
Thomas Fross-SII Investments Stockbroker Discloses Customer Dispute-The Villages, FL 150 150 Robert Rex, Esq.

UPDATE-September 2016– SII Investments was found liable for negligence, unsuitability and breach of fiduciary duty and ordered to pay damages in the amount of $19,634 plus interest in FINRA Case…

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