• Robert Rex, Esq.

Former LPL Financial/Essex National Securities Broker Sanctioned by Regulator-Cape Coral, FL
Former LPL Financial/Essex National Securities Broker Sanctioned by Regulator-Cape Coral, FL 150 150 Robert Rex, Esq.

September 21,  2015- Cape Coral, Florida Edward K. Roos , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from April…

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  • Robert Rex, Esq.

Matthew Schomburg-State Farm Agent-Katy, Texas-Sanctioned by Securities Regulator
Matthew Schomburg-State Farm Agent-Katy, Texas-Sanctioned by Securities Regulator 150 150 Robert Rex, Esq.

September 29,  2015- Katy, Texas  Matthew T. Schomburg , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from 11/2010-8/2013 he…

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  • Robert Rex, Esq.

Joseph Charles Schroeder-Wunderlich Securities Broker- Sanctioned by Regulator
Joseph Charles Schroeder-Wunderlich Securities Broker- Sanctioned by Regulator 150 150 Robert Rex, Esq.

July 10, 2015- Dallas, Texas Joseph Charles Schroeder ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he violated NASD…

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  • Robert Rex, Esq.

Malcolm J. Babin-Former PFS Investments Broker – Barred by Securities Regulators
Malcolm J. Babin-Former PFS Investments Broker – Barred by Securities Regulators 150 150 Robert Rex, Esq.

July 30, 2015-Baton Rouge, LA According to FINRA records, Malcolm Jamil Babin ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve…

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  • Robert Rex, Esq.

Kuhns Brothers Securities Broker Sanctioned by FINRA
Kuhns Brothers Securities Broker Sanctioned by FINRA 150 150 Robert Rex, Esq.

July 15, 2015- Jeffrey Howard Auerbach ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he violated NASD Rule 3040…

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  • Robert Rex, Esq.

Barry Hartman-FSC Securities Broker- Sanctioned by Regulator
Barry Hartman-FSC Securities Broker- Sanctioned by Regulator 150 150 Robert Rex, Esq.

  Barry George Hartman , entered into a Letter of Acceptance, Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he engaged in outside business activities without…

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  • Robert Rex, Esq.

Mark B. Quimby-Former Allstate Financial Services Broker-Sanctioned by Securities Regulator-Tampa, FL
Mark B. Quimby-Former Allstate Financial Services Broker-Sanctioned by Securities Regulator-Tampa, FL 150 150 Robert Rex, Esq.

August18, 2015, Mark Brian Quimby,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he caused two customers to…

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  • Robert Rex, Esq.

Malcolm Babin-Former PFS Investments Broker from Baton Rouge Sanctioned by Securities Regulator
Malcolm Babin-Former PFS Investments Broker from Baton Rouge Sanctioned by Securities Regulator 150 150 Robert Rex, Esq.

July 30, 2015 Malcolm Jamal Babin  of Baton Rouge, LA , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that…

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  • Robert Rex, Esq.

Former Wunderlich Securities Broker Sanctioned By Regulators-Plano
Former Wunderlich Securities Broker Sanctioned By Regulators-Plano 150 150 Robert Rex, Esq.

July 10, 2015-Dallas, TX Joseph C. Schroeder entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he: violated NASD Rule…

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  • Robert Rex, Esq.

Brian M. White -Former Hornor/Townsend/Kent Broker-Barred from Securities Industry-Woodlands, TX
Brian M. White -Former Hornor/Townsend/Kent Broker-Barred from Securities Industry-Woodlands, TX 150 150 Robert Rex, Esq.

June 30, 2015 A FINRA Department of Enforcement Hearing Panel made a decision that Brian Michael White engaged in undisclosed outside business activities and  provided false testimony to FINRA staff in…

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