• Robert Rex, Esq.

Riek Capital/RIEK Capital Distributors-Texas Securities Regulator Issues Cease & Desist
Riek Capital/RIEK Capital Distributors-Texas Securities Regulator Issues Cease & Desist 150 150 Robert Rex, Esq.

September 2021- Austin, TX  Texas Securities Commissioner  Travis J. Iles, of the Texas State Securities Board entered an emergency cease and desist order to stop Riek Capital (aka Riek Capital Investment, aka…

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  • Robert Rex, Esq.

Minnesota Financial Planners-Sanctioned by Certified Financial Planning Board-September 2021 Update
Minnesota Financial Planners-Sanctioned by Certified Financial Planning Board-September 2021 Update 150 150 Robert Rex, Esq.

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

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  • Robert Rex, Esq.

Wisconsin Financial Planners-Sanctioned by Certified Financial Planning Board-September 2021 Update
Wisconsin Financial Planners-Sanctioned by Certified Financial Planning Board-September 2021 Update 150 150 Robert Rex, Esq.

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

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  • Robert Rex, Esq.

California Financial Planners-Sanctioned by Certified Financial Planning Board-September 2021 Update
California Financial Planners-Sanctioned by Certified Financial Planning Board-September 2021 Update 150 150 Robert Rex, Esq.

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

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  • Robert Rex, Esq.

Oklahoma Financial Planners-Sanctioned by Certified Financial Planning Board-September 2021 Update
Oklahoma Financial Planners-Sanctioned by Certified Financial Planning Board-September 2021 Update 150 150 Robert Rex, Esq.

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

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  • Robert Rex, Esq.

Louisiana Financial Planners-Sanctioned by Certified Financial Planning Board-September 2021 Update
Louisiana Financial Planners-Sanctioned by Certified Financial Planning Board-September 2021 Update 150 150 Robert Rex, Esq.

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

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  • Robert Rex, Esq.

Texas Financial Planners-Sanctioned by Certified Financial Planning Board-September 2021 Update
Texas Financial Planners-Sanctioned by Certified Financial Planning Board-September 2021 Update 150 150 Robert Rex, Esq.

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

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  • Robert Rex, Esq.

Anthony Sica-Joseph Gunnar Broker-Subject of $750K Customer Suit-New York
Anthony Sica-Joseph Gunnar Broker-Subject of $750K Customer Suit-New York 150 150 Robert Rex, Esq.

September 2021- New York The FINRA records of Anthony Sica  , a stock broker who is employed by Joseph Gunnar & Co. , disclose a pending customer suit,  3 regulatory sanctions and  3 prior…

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  • Robert Rex, Esq.

Jason Poff-Allstate Financial Services-Discloses Customer Complaint & Suspension-Houston, TX
Jason Poff-Allstate Financial Services-Discloses Customer Complaint & Suspension-Houston, TX 150 150 Robert Rex, Esq.

September 2021- Houston, TX According to his FINRA record  Jason H. Poff , a financial advisor employed by Allstate Financial Services  discloses a final regulatory investigation resulting in suspension and…

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