• Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates James Norris a broker with Robert W. Baird
Rex Securities Law Investment Fraud Attorney Investigates James Norris a broker with Robert W. Baird 150 150 Robert Rex, Esq.

Last Updated: June 2024 (Ashland, KY) James Norris Investigation Summary Here’s what you need to know about Ashland, Kentucky, stockbroker James Norris: Name: Mr. James Thornton Norris III Current Employer:…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Robert Schrieber a broker with Robert W. Baird & Co.
Rex Securities Law Investment Fraud Attorney Investigates Robert Schrieber a broker with Robert W. Baird & Co. 150 150 Robert Rex, Esq.

Last Updated: March 2024 (Elgin, IL) Robert Schrieber Investigation Summary Here’s what you need to know about Elgin, IL, stockbroker Robert Schrieber: Name: Mr. Robert Lee Schrieber Current Employer: Robert…

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John Michael Palombo- Former Merrill Lynch Broker-Suspended Indefinitely by Securities Regulator – Austin, TX
John Michael Palombo- Former Merrill Lynch Broker-Suspended Indefinitely by Securities Regulator – Austin, TX 150 150 ER

John Michael Palombo Investigation March 2022-Austin, TX The FINRA records of John Michael Palombo ,  a former broker previously employed by Robert W. Baird & Co. , disclose a final regulatory matter .…

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Edmund “Eddie” Murphy- Former Robert W. Baird Discloses Customer Disputes – Naples, FL
Edmund “Eddie” Murphy- Former Robert W. Baird Discloses Customer Disputes – Naples, FL 150 150 ER

Edmund P. Murphy Investigation May 2022- Naples, FL According to publicly available records Edmund “Eddie” P. Murphy,  a broker previously registered with Robert W. Baird & Co., discloses a final…

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Mark Kregor-Former Robert W. Baird Broker-Discloses Regulatory Sanctions, Prior Customer Disputes and a Termination -Louisville, KY
Mark Kregor-Former Robert W. Baird Broker-Discloses Regulatory Sanctions, Prior Customer Disputes and a Termination -Louisville, KY 150 150 ER

Mark Kregor Investigation March 2022- Louisville, KY The FINRA records of Mark F. Kregor,  a broker with Stifel, Nicolaus & Company who formerly worked for Robert W. Baird,  disclose a regulatory…

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  • Robert Rex, Esq.

Jodie LaMarre- Former Robert W. Baird & Co. Broker- Discloses Regulatory Event & Two Settled Customer Disputes-Sarasota, FL
Jodie LaMarre- Former Robert W. Baird & Co. Broker- Discloses Regulatory Event & Two Settled Customer Disputes-Sarasota, FL 150 150 Robert Rex, Esq.

June 2019- Sarasota, FL According to publicly available records Jodie A. Lamarre (CRD#2127928) ,  a  stockbroker who is currently not registered  discloses a regulatory event and 2 settled customer disputes .…

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  • Robert Rex, Esq.

Robert W. Baird & Co. Broker Sanctioned for Trading Without Approval
Robert W. Baird & Co. Broker Sanctioned for Trading Without Approval 150 150 Robert Rex, Esq.

October 16, 2015- Portland, Oregon James G. Christianson  , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from July 2011…

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  • Robert Rex, Esq.

Former Robert W Baird Broker -Franklin, TN, Barred From Securities Industry
Former Robert W Baird Broker -Franklin, TN, Barred From Securities Industry 150 150 Robert Rex, Esq.

Patrick L. Garrett ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he intentionally and knowingly misrepresented to a…

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  • Robert Rex, Esq.

Robert W. Baird Broker Barred from Industry for Misrepresenting Account Value to Customer
Robert W. Baird Broker Barred from Industry for Misrepresenting Account Value to Customer 150 150 Robert Rex, Esq.

August 4, 2015 Patrick Landon Garrett, of Franklin, TN ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he verbally…

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  • Robert Rex, Esq.

Losses on Cushing Royalty & Income Fund ??
Losses on Cushing Royalty & Income Fund ?? 150 150 Robert Rex, Esq.

June 15,2015, Cushing & Royalty Income Fund (SRF) which traded at $25 in February 2012 currently trades at less than $5. It is a leveraged fund which invests in oil…

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