• Robert Rex, Esq.

Clint Smith-Former Edward Jones Broker-Barred From Securities Industry-Beaumont, Texas
Clint Smith-Former Edward Jones Broker-Barred From Securities Industry-Beaumont, Texas 150 150 Robert Rex, Esq.

UPDATED JULY 2018 Lumberton/Beaumont , Texas According to FINRA records,  Wesley “Clint” Smith ,  a stockbroker  who formerly worked  for Edward Jones discloses  a pending customer dispute, 7 prior customer disputes and one final…

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  • Robert Rex, Esq.

Investors Capital Corp. Discloses 22 Regulatory Issues-Withdraws FINRA Registration
Investors Capital Corp. Discloses 22 Regulatory Issues-Withdraws FINRA Registration 150 150 Robert Rex, Esq.

UPDATE APRIL 2018-In December 2017, Investors Capital Corp. was hit with another FINRA regulatory sanction involving mutual funds. The firm was censured and agreed to pay $437,674 in restitution to…

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  • Robert Rex, Esq.

Legend Securities Loses Arbitration Hearing Brought by Former Customer
Legend Securities Loses Arbitration Hearing Brought by Former Customer 150 150 Robert Rex, Esq.

Tampa, Florida A Financial Industry Regulatory Authority (FINRA) arbitration panel awarded damages of over $150,000 to two former customers of Legend Securities, Inc. who brought the action for losses suffered…

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  • Robert Rex, Esq.

VSR Financial Services-How to Recover Damages On Investment Losses
VSR Financial Services-How to Recover Damages On Investment Losses 150 150 Robert Rex, Esq.

FEBRUARY 2017 UPDATE–VSR Financial has closed operations. Many of its brokers and clients have been transferred to Summit Brokerage Services, a related entity. See below for discussion of VSR’s regulatory…

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  • Robert Rex, Esq.

Ralph B. Marra-Former Morgan Stanley Broker-Discloses Two Pending Customer Disputes-Red Bank, NJ
Ralph B. Marra-Former Morgan Stanley Broker-Discloses Two Pending Customer Disputes-Red Bank, NJ 150 150 Robert Rex, Esq.

Red Bank, New Jersey UPDATE July 2016–FINRA records disclose that Ralph B. Marra has an outstanding Internal Revenue Service levy at the court in Freehold New Jersey, in the amount…

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  • Robert Rex, Esq.

Brent V. Lott Investigation-Former MHL Investments Broker-Discharged for Violating Firm Policy-Orem, UT
Brent V. Lott Investigation-Former MHL Investments Broker-Discharged for Violating Firm Policy-Orem, UT 150 150 Robert Rex, Esq.

Brent Van Lott Investigation October 2022- Orem, Utah According to FINRA records,  Brent Van Lott ,   a stock broker who is not currently and who was last  employed by MHL Investments , discloses a regulatory event,…

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  • Robert Rex, Esq.

Morgan Stanley Ordered By FINRA Panel to Pay $8.6 Million to Customer
Morgan Stanley Ordered By FINRA Panel to Pay $8.6 Million to Customer 150 150 Robert Rex, Esq.

Los Angeles, CA In an arbitration conducted by the Financial Industry Regulatory Authority (FINRA) Morgan Stanley was ordered to pay a retiree over $8.6 million in damages for unauthorized trading…

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  • Robert Rex, Esq.

Alex Etter-Former Caldwell International Securities Broker-Named in Regulatory Complaint
Alex Etter-Former Caldwell International Securities Broker-Named in Regulatory Complaint 150 150 Robert Rex, Esq.

Englewood Cliffs, New Jersey According to FINRA records,  Alex E. Etter,   a stockbroker who was formerly employed by Caldwell International Securities, discloses  a pending regulatory investigation . The Financial Industry Regulatory Authority (FINRA) is the agency…

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  • Robert Rex, Esq.

Greg Caldwell-Caldwell International Securities Broker-Discloses Regulatory Investigation
Greg Caldwell-Caldwell International Securities Broker-Discloses Regulatory Investigation 150 150 Robert Rex, Esq.

Austin, Texas OCTOBER 2017 UPDATE-Caldwell International Securities was expelled from the securities industry by FINRA January 2017. According to FINRA records,  Greg A. Caldwell,   a stockbroker who is currently  employed by Caldwell International…

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  • Robert Rex, Esq.

Lennie Freiman-Former Caldwell International Securities Broker-Discloses Regulatory Investigation
Lennie Freiman-Former Caldwell International Securities Broker-Discloses Regulatory Investigation 150 150 Robert Rex, Esq.

San Antonio, Texas According to FINRA records,  Lennie S. Freiman,   a stockbroker who most recently worked for Caldwell International Securities, but who is not currently registered with any firm,  discloses  a pending regulatory investigation and…

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