• Robert Rex, Esq.

MAINE CERTIFIED FINANCIAL PLANNERS DISCIPLINED BY CFP BOARD- September 2021 update
MAINE 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…

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  • Robert Rex, Esq.

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

UPDATED September 2021 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…

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  • Robert Rex, Esq.

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

UPDATED SEPTEMBER 2021 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…

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  • Robert Rex, Esq.

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

UPDATED SEPTEMBER 2021 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…

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Ronald Pullman- Former Trustmont Financial Group Broker- Discloses 3 Regulatory Events and 2 Terminations- Carnegie, PA
Ronald Pullman- Former Trustmont Financial Group Broker- Discloses 3 Regulatory Events and 2 Terminations- Carnegie, PA 150 150 ER

August 2021- Carnegie, PA According to publicly available records,  Ronald V. Pullman a currently unregistered financial advisor who was previously registered with Trustmont Financial Group, discloses 3 prior regulatory events…

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Daniel T. Levine- Former Morgan Stanley Broker- Barred from Industry-Has Customer Suits-Greenwood Village, CO
Daniel T. Levine- Former Morgan Stanley Broker- Barred from Industry-Has Customer Suits-Greenwood Village, CO 150 150 ER

August 2021- Greenwood Village, CO According to publicly available records,  Daniel Todd Levine broker previously employed with Morgan Stanley discloses 3 prior regulatory events, 2 pending customer disputes and 2 terminations from…

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Timothy D. O’Brien – Former Feltl & Co. Broker- Discloses 2 Regulatory Events, Customer Disputes – Inver Grove Heights, MN
Timothy D. O’Brien – Former Feltl & Co. Broker- Discloses 2 Regulatory Events, Customer Disputes – Inver Grove Heights, MN 150 150 ER

August 2021- Inver Grove Heights, MN According to publicly available records Timothy David O’Brien,  a financial advisor who is not currently registered, but was last employed by Feltl & Company, …

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Thomas Barone – Former NYLife Securities Broker- Discloses Regulatory Event, Customer Suit & Termination From Employment- New Orleans, LA
Thomas Barone – Former NYLife Securities Broker- Discloses Regulatory Event, Customer Suit & Termination From Employment- New Orleans, LA 150 150 ER

August 2021- New Orleans, LA According to publicly recorded records, Thomas J. Barone ,  a currently unregistered  financial advisor who was last employed by NYLife Securities,  discloses a regulatory event, …

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Michael Norton-David Lerner Broker-Sued Over Energy 11 Investment- Syosset, NY
Michael Norton-David Lerner Broker-Sued Over Energy 11 Investment- Syosset, NY 150 150 ER

August 2021- Syosset, NY According to publicly available records,  Michael Norton, a broker currently employed by  David Lerner Associates, Inc.,   discloses 3 settled customer disputes and 1 pending customer dispute.…

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Joseph Olheiser -Cabot Lodge Securities Broker- Discloses Regulatory Event and a Termination From Employment- Mountain View, CA
Joseph Olheiser -Cabot Lodge Securities Broker- Discloses Regulatory Event and a Termination From Employment- Mountain View, CA 150 150 ER

August 2021 -Mountain View, CA According to publicly recorded records, Joseph D. Olheiser,  a financial advisor currenlty employed by Cabot Lodge Securities,  discloses a regulatory event, a bankruptcy and a…

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