SII Investments Inc.

  • Robert Rex, Esq.

Gary Lee Miller-Former LPL Financial Broker-Discloses Customer Dispute Involving Annuities- Eau Claire, WI
Gary Lee Miller-Former LPL Financial Broker-Discloses Customer Dispute Involving Annuities- Eau Claire, WI 150 150 Robert Rex, Esq.

October 2018 – Eau Claire, WI According to publicly available records Gary Lee Miller   (CRD#2669776) ,  a  former stockbroker who was last employed by LPL Financial ,  disclose a settled customer dispute. The Financial Industry…

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  • Robert Rex, Esq.

Edward A. Klug-Concierge Wealth Management-Discloses Numerous Tax Liens-Appleton, WI
Edward A. Klug-Concierge Wealth Management-Discloses Numerous Tax Liens-Appleton, WI 150 150 Robert Rex, Esq.

August 2018-Appleton, WI The FINRA records of  Edward A. Klug,  a  former stock broker who was last employed by Newbridge Securities ,  disclose 4 prior customer disputes, and 5 currently outstanding judgment/liens. The Financial…

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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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  • Robert Rex, Esq.

Thomas Schober- Former SII Investments Stockbroker-Sued by Customer Over Annuity Investments
Thomas Schober- Former SII Investments Stockbroker-Sued by Customer Over Annuity Investments 150 150 Robert Rex, Esq.

UPDATE MARCH 2017– Thomas Schober, formerly a broker with SII Investments discloses a pending customer dispute and two prior customer disputes that have been resolved. All of the disputes relate…

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