• Robert Rex, Esq.

Richard W. Martin-Former G.F. Investments Services Broker-Discloses Issues Over Sale of ETFs
Richard W. Martin-Former G.F. Investments Services Broker-Discloses Issues Over Sale of ETFs 150 150 Robert Rex, Esq.

July 2017-Malaysia The FINRA records of  Richard William Lunn Martin ,  a  former stockbroker who was last  employed by  G.F. Investment Services, disclose a  prior regulatory matter, 15 customer disputes, a current…

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  • Robert Rex, Esq.

John  J. Gorman IV-Former Tejas Securities Group Broker-Discloses Regulatory Matter-Austin, TX
John  J. Gorman IV-Former Tejas Securities Group Broker-Discloses Regulatory Matter-Austin, TX 150 150 Robert Rex, Esq.

June 2017- Austin, TX According to publicly available records     John  J. Gorman IV  (CRD#1070636) ,  a  stockbroker who is currently unregistered disclose a currently pending regulatory matter, 3 prior regulatory events,  2…

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  • Robert Rex, Esq.

Christopher S. Laws-Former BCG Securities Broker-Named in SEC Complaint-Alpharetta, GA
Christopher S. Laws-Former BCG Securities Broker-Named in SEC Complaint-Alpharetta, GA 150 150 Robert Rex, Esq.

Alpharetta, Georgia AUGUST 2017 UPDATE-The Securities and Exchange Commission (SEC) charged Christopher S. Laws and three other Atlanta area brokers with fraudulently inducing federal employees to roll over holdings in…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates TCFG Wealth Management Broker Scott Offerman
Rex Securities Law Investment Fraud Attorney Investigates TCFG Wealth Management Broker Scott Offerman 150 150 Robert Rex, Esq.

Last Updated: November 2023 (New York, NY) Scott Offerman Investigation Summary Here’s what you need to know about New York, NY, stockbroker Scott Offerman: Name: Mr. Scott Offerman Current Employer:…

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  • Robert Rex, Esq.

Mark David Martino-Former Axiom Capital Management Broker-Discloses Customer Dispute-New York
Mark David Martino-Former Axiom Capital Management Broker-Discloses Customer Dispute-New York 150 150 Robert Rex, Esq.

May 2018 UPDATE-In April 2018 an arbitration panel in Hartford, CT, dismissed the claims against Mark Martino and recommended expungement of all references to FINRA arbitration 17-01008 (see below)  from…

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  • Robert Rex, Esq.

Baris Dincer-Former J.H. Darbie Broker-Discloses Terminations-New York
Baris Dincer-Former J.H. Darbie Broker-Discloses Terminations-New York 150 150 Robert Rex, Esq.

June 2020- New York According to publicly available records Baris Dincer  (CRD#5637472) ,  a  stockbroker who currently is not currently registered and who was previously employed by Planner Securities, J.H. Darbie &…

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  • Robert Rex, Esq.

Joao-Miguel Calil-Former Merrill Lynch Broker-Discloses Termination from Employment-NY
Joao-Miguel Calil-Former Merrill Lynch Broker-Discloses Termination from Employment-NY 150 150 Robert Rex, Esq.

June 2017- New York According to publicly available records Joao-Miguel Calil  (CRD#4351530) ,  a  stockbroker who is not currently employed,   discloses  a termination from employment with Merrill Lynch. The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Brian A. Hagen-D.H.Hill Securities Broker-Discloses Employment Separation-Montgomery, TX
Brian A. Hagen-D.H.Hill Securities Broker-Discloses Employment Separation-Montgomery, TX 150 150 Robert Rex, Esq.

June 2017- Montgomery , Texas According to publicly available records Brian Alan Hagen  (CRD#5189815) ,  a  stockbroker who currently is employed by  D.H. Hill Securities,   discloses  a termination from employment. The Financial Industry…

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John S. Simpson – Former RBC Capital Markets Broker-Discloses $11M Customer Suit- Hunt Valley, MD
John S. Simpson – Former RBC Capital Markets Broker-Discloses $11M Customer Suit- Hunt Valley, MD 150 150 Robert Rex, Esq.

June 2017- Hunt Valley, MD According to publicly available records John Scott Simpson  (CRD#719367) ,  a  former stockbroker who was last employed by  RBC Capital Markets,   discloses one regulatory event, a currently pending…

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  • Robert Rex, Esq.

Cullen Kempson-Former Commonwealth Financial Network Broker-Discloses Regulatory Event & Discharge From Employment-Sparta, NJ
Cullen Kempson-Former Commonwealth Financial Network Broker-Discloses Regulatory Event & Discharge From Employment-Sparta, NJ 150 150 Robert Rex, Esq.

May 2017- Sparta, NJ According to publicly available records V. Cullen Kempson III (CRD#1280887) ,  a  stockbroker currently registered with American Portfolios Financial Services, Inc discloses a prior regulatory event and a termination from employment. The…

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