• Robert Rex, Esq.

Noel Vincent-Former Investors Capital Corp/Madison Ave. Securities Broker-Subject of Numerous Customer Suits-Houston, TX
Noel Vincent-Former Investors Capital Corp/Madison Ave. Securities Broker-Subject of Numerous Customer Suits-Houston, TX 150 150 Robert Rex, Esq.

Noel Vincent Investigation-June 2021–Houston, Texas According to publicly available records Noel Ray Vincent, (CRD# 1370987) ,  a  stockbroker who is not currently registered , who formerly worked for Madison Avenue Securities and…

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  • ER

Peter Ianace- Former Wells Fargo Broker-Subject of $18M Suit-Barred From Industry by Securities Regulator-Plano, TX
Peter Ianace- Former Wells Fargo Broker-Subject of $18M Suit-Barred From Industry by Securities Regulator-Plano, TX 150 150 ER

Peter Ianace Investigation-Plano, TX  The FINRA records of  Peter Ianace ,  a  former financial advisor who was last employed by  Wells Fargo Clearing Services, disclose a regulatory event and three customer…

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Thomas Stratton -Former World Choice Securities Broker-Barred from Securities Industry-Melbourne, FL
Thomas Stratton -Former World Choice Securities Broker-Barred from Securities Industry-Melbourne, FL 150 150 ER

Thomas Stratton Investigation September  2021 – Melbourne, FL According to publicly attained records, Thomas Ward Stratton, a stockbroker  who was last employed by World Choice Securities,  discloses a prior regulatory matter…

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  • Robert Rex, Esq.

Colorado Certified Financial Planners Disciplined by CFP Board- SEPTEMBER 2021 Update
Colorado Certified Financial Planners Disciplined by CFP Board- SEPTEMBER 2021 Update 150 150 Robert Rex, Esq.

Colorado Financial Planners Disciplined The list below, taken from the CFP board disciplinary page of their website in SEPTEMBER 2021, is a historical record of individuals from Colorado who have been disciplined by CFP Board…

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  • Robert Rex, Esq.

Georgia Certified Financial Planners Disciplined by CFP Board- SEPTEMBER 2021 Update
Georgia Certified Financial Planners Disciplined by CFP Board- SEPTEMBER 2021 Update 150 150 Robert Rex, Esq.

Georgia Financial Planners Disciplined The list below, taken from the CFP board disciplinary page of their website in SEPTEMBER 2021,  is a historical record of individuals from Georgia  who have been disciplined by…

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  • Robert Rex, Esq.

Michigan Certified Financial Planners Disciplined by CFP Board-SEPTEMBER 2021 UPDATE
Michigan Certified Financial Planners Disciplined by CFP Board-SEPTEMBER 2021 UPDATE 150 150 Robert Rex, Esq.

Michigan Financial Planners Disciplined The list below, taken from the CFP board disciplinary page of their website in SEPTEMBER 2021, is a historical record of individuals from Michigan who have been disciplined by…

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  • Robert Rex, Esq.

Ohio Certified Financial Planners Disciplined by CFP Board-SEPTEMBER 2021 UPDATE
Ohio Certified Financial Planners Disciplined by CFP Board-SEPTEMBER 2021 UPDATE 150 150 Robert Rex, Esq.

Ohio Financial Planners Disciplined The list below, taken from the CFP board disciplinary page of their website in SEPTEMBER 2021,  is a historical record of individuals from Ohio  who have been disciplined by CFP…

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  • Robert Rex, Esq.

Pennsylvania Certified Financial Planners Disciplined by CFP Board-SEPTEMBER 2021 UPDATE
Pennsylvania Certified Financial Planners Disciplined by CFP Board-SEPTEMBER 2021 UPDATE 150 150 Robert Rex, Esq.
According to their website, the “Certified Financial Planner (CFP) Board is a non-profit organization acting in the public interest by fostering professional standards in personal financial planning through its setting and enforcement of the education, examination, experience, ethics and other requirementments for CFP. “ The CFP Board can discipline those holding the CFP title in one of three ways: Public Letter of Admonition Temporary Suspension of CFP certification Revocation of individual’s CFP certification The list below, taken from the CFP board disciplinary page of their website in April 2013, is a historical record of individuals from Pennsylvania who have been disciplined by CFP Board and does not imply that any listed discipline is currently in force. To verify an individual’s current certification status visit the CFP website here. Revocations Robert J. read more
  • Robert Rex, Esq.

Florida Certified Financial Planners Disciplined by CFP Board-September 2021 UPDATE
Florida Certified Financial Planners Disciplined by CFP Board-September 2021 UPDATE 150 150 Robert Rex, Esq.

Florida Disciplined Financial Planners The list below, taken from the CFP board disciplinary page of their website in SEPTEMBER 2021 , is the currently published record of  Florida individuals who have been disciplined by CFP…

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  • Robert Rex, Esq.

Tennessee Certified Financial Planners Disciplined by CFP Board-SEPTEMBER 2021 UPDATE
Tennessee Certified Financial Planners Disciplined by CFP Board-SEPTEMBER 2021 UPDATE 150 150 Robert Rex, Esq.
According to their website, the “Certified Financial Planner (CFP) Board is a non-profit organization acting in the public interest by fostering professional standards in personal financial planning through its setting and enforcement of the education, examination, experience, ethics and other requirementments for CFP. “ The CFP Board can discipline those holding the CFP title in one of three ways: Public Letter of Admonition Temporary Suspension of CFP certification Revocation of individual’s CFP certification The list below, taken from the CFP board disciplinary page of their website in May 2013, is a historical record of individuals from Tennessee who have been disciplined by CFP Board and does not imply that any listed discipline is currently in force. To verify an individual’s current certification status visit the CFP website here. Revocations William C. read more
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