• Robert Rex, Esq.

Michael J. Giannetti Investigation- Former MML Investors Services Broker-Barred From Securities Industry by Regulators – McKinney, TX
Michael J. Giannetti Investigation- Former MML Investors Services Broker-Barred From Securities Industry by Regulators – McKinney, TX 150 150 Robert Rex, Esq.

Michael J. Giannetti Investigation May 2022-McKinney , TX  According to publicly available records Michael J. Giannetti, a former broker who last worked for  MML Investors Services,  discloses a final regulatory matter resulting…

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  • Robert Rex, Esq.

Triad Advisors Fined by Regulators Over LJM Preservation & Growth Fund -Atlanta, GA
Triad Advisors Fined by Regulators Over LJM Preservation & Growth Fund -Atlanta, GA 150 150 Robert Rex, Esq.

Triad Advisors Fined by Securities Regulators Over Sale of LJM Preservation & Growth Fund May 2022-Atlanta, GA Triad Advisors  is a broker dealer headquartered in Atlanta, Ga.  It has been a…

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  • Robert Rex, Esq.

Torch Securities Fined by Regulators Over Private Placements -Sugar Land,TX
Torch Securities Fined by Regulators Over Private Placements -Sugar Land,TX 150 150 Robert Rex, Esq.

Torch Securities Fined by Securities Regulators May 2022-Sugar Land, TX Torch Securities  is a broker dealer located in Sugar Land, TX that does investment banking, merger and acquisition work and…

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  • Robert Rex, Esq.

Nobles & Richards Fined by Regulators Over Private Placements -Plano,TX
Nobles & Richards Fined by Regulators Over Private Placements -Plano,TX 150 150 Robert Rex, Esq.

Nobles & Richards Fined by Securities Regulators May 2022-Plano, TX Nobles & Richards, Inc. is a broker dealer located in Plano, TX that sells Oil and Gas private placements and…

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Rex Securities Law Investment Fraud Attorney Investigates Lee Rycraft formerly with LPL Financial
Rex Securities Law Investment Fraud Attorney Investigates Lee Rycraft formerly with LPL Financial 150 150 ER

Last Updated: October 2023 (Watertown, South Dakota) Lee Rycraft Investigation Summary Here’s what you need to know about Watertown, SD, stockbroker Lee Rycraft: Name: Mr. Lee Harold Rycraft Current Employer:…

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Kenia Rocha – EFG Capital Broker-Subject of $4.1M Customer Option Trading Suit – Miami, FL
Kenia Rocha – EFG Capital Broker-Subject of $4.1M Customer Option Trading Suit – Miami, FL 150 150 ER

Kenia Rocha Investigation May 2022-Miami, FL The FINRA records of  Kenia Rocha,  a broker with EFG Capital International,  discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…

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Eduardo Da Cruz – EFG Capital Broker-Subject of $4.1M Customer Suit Over Option Trading – Miami, FL
Eduardo Da Cruz – EFG Capital Broker-Subject of $4.1M Customer Suit Over Option Trading – Miami, FL 150 150 ER

Eduardo Da Cruz Investigation May 2022-Miami, FL The FINRA records of  Eduardo Moliterno Da Cruz,  a broker with EFG Capital International,  disclose a pending customer dispute. The Financial Industry Regulatory Authority…

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Rex Securities Law Investment Fraud Attorney Investigates LPL Financial Broker Bill Poulter
Rex Securities Law Investment Fraud Attorney Investigates LPL Financial Broker Bill Poulter 150 150 ER

Last Updated: October 2023 (Baton Rouge, LA) Bill Poulter Investigation Summary Here’s what you need to know about Baton Rouge, LA, stockbroker Bill Poulter: Name: Mr. William John Poulter Current…

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Jack “JJ” Jones- Triad Advisors Broker- Discloses Customer Disputes & Regulatory Sanction -Houston, TX
Jack “JJ” Jones- Triad Advisors Broker- Discloses Customer Disputes & Regulatory Sanction -Houston, TX 150 150 ER

Jack “JJ” Jones Investigation May 2022- Houston, TX  According to publicly available records, Jack Lewis “JJ” Jones, a Triad Advisors broker discloses a regulatory sanction, 2 prior customer disputes and…

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  • Robert Rex, Esq.

Gregg Ferguson- Former LPL Financial Broker- Discloses Pending Customer Dispute & Regulatory Sanction -Bellville, TX
Gregg Ferguson- Former LPL Financial Broker- Discloses Pending Customer Dispute & Regulatory Sanction -Bellville, TX 150 150 Robert Rex, Esq.

Gregg Ferguson Investigation May 2022- Bellville, TX  According to publicly available records, Howell Gregory “Gregg” Ferguson, an LPL Financial broker discloses a regulatory sanction and a pending customer dispute. The…

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