• Robert Rex, Esq.

Keith Thomas Lohm, Sr.-Previous Citizens Securities, Inc. Broker-Discloses Termination- Pittsburg, PA
Keith Thomas Lohm, Sr.-Previous Citizens Securities, Inc. Broker-Discloses Termination- Pittsburg, PA 150 150 Robert Rex, Esq.

November  2020- Pittsburg, PA According to publicly available records  Keith Thomas Lohm, Sr. (CRD#1516728), a  former stockbroker who last worked for Citizens Securities, Inc.,  discloses a termination from employment. The…

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  • Robert Rex, Esq.

William G. Mason- Stifel Nicolaus Broker-Discloses Pending Customer Dispute -New Orleans, LA
William G. Mason- Stifel Nicolaus Broker-Discloses Pending Customer Dispute -New Orleans, LA 150 150 Robert Rex, Esq.

November 2020- New Orleans, LA According to publicly available records, a  Stifel, Nicolaus & Company broker William Geary Mason  discloses a pending customer dispute and a termination. The Financial Industry…

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  • Robert Rex, Esq.

Mark Hopkins- Former American Portfolios Financial Broker-Barred from Securities Industry- Discloses Regulatory Events & Customer Disputes -Grand Blanc, MI
Mark Hopkins- Former American Portfolios Financial Broker-Barred from Securities Industry- Discloses Regulatory Events & Customer Disputes -Grand Blanc, MI 150 150 Robert Rex, Esq.

November 2020- Grand Blanc, MI According to publicly available records, former American Portfolios Financial Services, Inc. (APFS) ,  financial advisor Mark Lewton Hopkins,  has been barred from the securities industry by…

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  • Robert Rex, Esq.

Michael Mountjoy-Former LPL Financial Broker- Discloses Regulatory Event and Termination-Louisville, KY
Michael Mountjoy-Former LPL Financial Broker- Discloses Regulatory Event and Termination-Louisville, KY 150 150 Robert Rex, Esq.

November 2020- Louisville, KY According to publicly available records Michael Mountjoy (CRD#4421573), an unregistered broker who last worked for LPL Financial,  discloses a regulatory event and a termination from employment.…

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  • Robert Rex, Esq.

Benjamin Bourgeois, Jr.-Former Commonwealth Financial Broker-Discloses Customer Disputes and a Termination-Metairie, LA
Benjamin Bourgeois, Jr.-Former Commonwealth Financial Broker-Discloses Customer Disputes and a Termination-Metairie, LA 150 150 Robert Rex, Esq.

November 2020- Metairie, LA According to publicly available records, former Commonwealth Financial Network,  financial advisor Benjamin Bourgeois, Jr.   is barred from FINRA and discloses 3 prior customer disputes, a pending…

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  • Robert Rex, Esq.

Rafael Golan-Former Crystal Bay Securities Broker- Permanently Barred from Securities Industry-Delray Beach, FL
Rafael Golan-Former Crystal Bay Securities Broker- Permanently Barred from Securities Industry-Delray Beach, FL 150 150 Robert Rex, Esq.

November 2020- Delray Beach, FL According to publicly available records, former Crystal Bay Securities, Inc.  financial advisor Rafael Golan,  is barred from FINRA and discloses 4 regulatory events, 4 investigations,…

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  • Robert Rex, Esq.

Stefan Pastor-Former Raymond James Broker-Barred From Securities Industry-Ft. Lauderdale, FL
Stefan Pastor-Former Raymond James Broker-Barred From Securities Industry-Ft. Lauderdale, FL 150 150 Robert Rex, Esq.

October 2020- Hollywood, FL According to publicly available records.  Stefan Anton Pastor, (CRD#5141819), a  former stockbroker who last worked for Raymond James Financial Services, Inc.,  discloses a regulatory event, 2…

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  • Robert Rex, Esq.

Edward Earl Matthes-Former Mutual of Omaha Investment Services, Inc. Broker-Barred from Securities Industry for Alleged Theft-Oconomowoc, WI
Edward Earl Matthes-Former Mutual of Omaha Investment Services, Inc. Broker-Barred from Securities Industry for Alleged Theft-Oconomowoc, WI 150 150 Robert Rex, Esq.

October 2020- Oconomowoc, WI According to publicly available records, former Mutual of Omaha Investor Services, Inc.,   financial advisor Edward Earl Matthes ,  discloses 5 regulatory events, a civil event, 15 prior…

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  • Robert Rex, Esq.

Robert Nordaune-Former Thrivent Investment Broker-Discloses Regulatory Event and Termination-Montevideo, MN
Robert Nordaune-Former Thrivent Investment Broker-Discloses Regulatory Event and Termination-Montevideo, MN 150 150 Robert Rex, Esq.

October 2020- Montevideo, MN According to publicly available records Robert Nordaune (CRD#2313216), a  former stockbroker who last worked for Thrivent Investment, Inc.,  discloses a regulatory event and a termination from…

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