• Robert Rex, Esq.

Paul W. Smith-Former Bolton Global Capital Broker Investigated Over Haverford Investment-Wayne, PA
Paul W. Smith-Former Bolton Global Capital Broker Investigated Over Haverford Investment-Wayne, PA 150 150 Robert Rex, Esq.

September 2017 -Wayne, PA According to publicly available records Paul W. Smith (CRD#1070735) , a  former stockbroker who was last registered with Bolton Global Capital , disclose  a final regulatory event , 7 pending customer…

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  • Robert Rex, Esq.

William B. Wyman-Former Royal Alliance Assoc. Broker-Barred From Securities Industry-Palm Bay, FL
William B. Wyman-Former Royal Alliance Assoc. Broker-Barred From Securities Industry-Palm Bay, FL 150 150 Robert Rex, Esq.

April 2017- Palm Bay, FL The FINRA records of  William B. Wyman ,  a  former stockbroker who was  employed by  Royal Alliance Associates disclose a prior regulatory event,  a pending customer dispute, two prior…

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  • Robert Rex, Esq.

Joe L. Buckner-Former Brazos Securities Broker-Barred From Industry by FINRA-Dallas, TX
Joe L. Buckner-Former Brazos Securities Broker-Barred From Industry by FINRA-Dallas, TX 150 150 Robert Rex, Esq.

May 2017- Dallas, TX The FINRA records of  Joe L. Buckner,  a  former stockbroker who was last employed by  Brazos Securities discloses a prior regulatory event, a pending customer dispute, a regulatory investigation and a termination from…

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  • Robert Rex, Esq.

RIcky R. Moore-Sagepoint Financial Broker-Discloses Regulatory Suspension/Fine-Angleton, TX
RIcky R. Moore-Sagepoint Financial Broker-Discloses Regulatory Suspension/Fine-Angleton, TX 150 150 Robert Rex, Esq.

May 2017-Angleton, TX The FINRA records of RIcky R. Moore,  a  stockbroker who is employed by  Sagepoint Financial  disclose a final regulatory event, 3 prior customer disputes and a termination from employment. The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Patrick D. Combs-Former Morgan Stanley Broker-Discloses Customer Dispute and Suspension by FINRA-Southlake, TX
Patrick D. Combs-Former Morgan Stanley Broker-Discloses Customer Dispute and Suspension by FINRA-Southlake, TX 150 150 Robert Rex, Esq.

May 2017-Southlake, TX The FINRA records of  Patrick D. Combs  ,  a  stockbroker who is currently suspended by FINRA and who was last registered with IMS Securities disclose a pending customer dispute, a final regulatory event…

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  • Robert Rex, Esq.

Neal Moon-Former Waddell & Reed Broker-Discloses Settlement and Termination from Employment-Dallas, TX
Neal Moon-Former Waddell & Reed Broker-Discloses Settlement and Termination from Employment-Dallas, TX 150 150 Robert Rex, Esq.

April 2017-Dallas, TX  According to publicly available records Neal Charles Moon, (CRD#3271716) ,  a  stockbroker who is not currently registered and who last was employed by  Waddell & Reed  discloses a prior regulatory event, a prior…

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  • Robert Rex, Esq.

Austin W. Morton-Former Edward Jones Broker-Named in Theft Complaint-Sallisaw, OK
Austin W. Morton-Former Edward Jones Broker-Named in Theft Complaint-Sallisaw, OK 150 150 Robert Rex, Esq.

March 2017-Sallisaw, OK According to publicly available records Austin W. Morton , (CRD# 5538108) ,  a  currently unregistered stockbroker who previously worked for Edward Jones  disclose a pending regulatory matter, a pending customer dispute and…

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  • Robert Rex, Esq.

Matthew J. Westfall-Former Securities America Broker-Discloses Pending Customer Dispute
Matthew J. Westfall-Former Securities America Broker-Discloses Pending Customer Dispute 150 150 Robert Rex, Esq.

February 2017-Grand Isle, NE According to publicly available records Matthew J. Westfall , (CRD# 1112977) ,  a   stockbroker who is not currently registered, discloses a pending customer dispute, a discharge from…

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  • Robert Rex, Esq.

Mark R. Holcombe-Former Source Capital Broker-Sanctioned by Securities Regulator-Pompano Beach, FL
Mark R. Holcombe-Former Source Capital Broker-Sanctioned by Securities Regulator-Pompano Beach, FL 150 150 Robert Rex, Esq.

December 2016-Pompano Beach, FL According to publicly available records Mark R. Holcombe , (CRD# 2901441) ,  a  stockbroker who is currently under suspension who was last employed by  Source Capital Group,  disclose  a recent regulatory…

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  • Robert Rex, Esq.

Neal & Natalie Moon-Former Waddell & Reed Brokers-Named in Regulatory Complaint-Dallas, TX
Neal & Natalie Moon-Former Waddell & Reed Brokers-Named in Regulatory Complaint-Dallas, TX 150 150 Robert Rex, Esq.

July 2016- Dallas, TX FINRA Department of Enforcement filed Disciplinary Proceeding 2015046926801 against Neal Charles Moon (CRD 3271716) and his wife Natalie E. Fogiel Moon (CRD 5010360) alleging that from…

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