• Robert Rex, Esq.

Randall Fields- Former Financial Advisor with Facilitar Capital Group- License Revoked by TSSB- Leander, TX
Randall Fields- Former Financial Advisor with Facilitar Capital Group- License Revoked by TSSB- Leander, TX 150 150 Robert Rex, Esq.

July 2021- Leander, TX According to publicly available records,  Randall H. Fields, a registered investment  advisor last employed by  Facilitar Capital Group, Sensus Wealth Management Group and Acruence Capital , discloses…

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  • Robert Rex, Esq.

Investigation of Ameriprise Broker Norm Robbins -Boca Raton, FL
Investigation of Ameriprise Broker Norm Robbins -Boca Raton, FL 150 150 Robert Rex, Esq.

July 2021- Boca Raton, FL  We are investigating Ameriprise Financial Services financial advisor Norman (Norm) Robbins. According to publicly available records, Norm Robbins discloses  a prior regulatory matter,  2 pending customer disputes and…

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  • Robert Rex, Esq.

James P. Scullin-Former UBS Broker-Customer Paid $2M to Resolve Unauthorized Trading Claim-Coral Gables, FL
James P. Scullin-Former UBS Broker-Customer Paid $2M to Resolve Unauthorized Trading Claim-Coral Gables, FL 150 150 Robert Rex, Esq.

Coral Gables, Florida According to FINRA records, James P. Scullin ,  a broker who worked for UBS Financial Services from 6/2011-11/2014 discloses that he was discharged by UBS Financial in October 2014. He also…

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  • Robert Rex, Esq.

Investigation of Former Merrill Lynch Broker Forrest Jones & Knight Nguyen Investments -Conroe, TX
Investigation of Former Merrill Lynch Broker Forrest Jones & Knight Nguyen Investments -Conroe, TX 150 150 Robert Rex, Esq.

July 2021- Conroe, TX  We are investigating former Merrill Lynch financial advisor Forrest Andrew Jones & a now defunct investment advisory firm Knight Nguyen Investments. According to publicly available records, Forrest Jones discloses…

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  • ER

Constantinos Maniatis- Former Morgan Stanley Advisor- Discloses A Regulatory Event and Termination- Dallas, TX
Constantinos Maniatis- Former Morgan Stanley Advisor- Discloses A Regulatory Event and Termination- Dallas, TX 150 150 ER

July 2021- Dallas, TX According to publicly available records,  Constantinos G. Maniatis, a financial advisor previously with Morgan Stanley, discloses a regulatory event and a termination from employment. The Financial…

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  • ER

Michael Dellaporta, Jr.-Former B.B. Graham & Company-Permanently Barred From FINRA-Ft. Lauderdale, FL
Michael Dellaporta, Jr.-Former B.B. Graham & Company-Permanently Barred From FINRA-Ft. Lauderdale, FL 150 150 ER

July 2021- Ft. Lauderdale, FL According to publicly available records Michael Dellaporta, Jr.  (CRD#500214), a  former stockbroker who last worked for B.B. Graham & Company, Inc.,  has been permanently barred…

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  • Robert Rex, Esq.

David Zuber-Former Securities America Broker- Permanently Barred from FINRA- Independence, OH
David Zuber-Former Securities America Broker- Permanently Barred from FINRA- Independence, OH 150 150 Robert Rex, Esq.

July 2021- Independence, OH According to publicly available records David Zuber (CRD#3239595), a  former stockbroker who last worked for Securities America, Inc.,  has been permanently barred from FINRA. The Financial…

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  • Robert Rex, Esq.

How to Recover Your Investment Losses on Northstar Financial (Bermuda)
How to Recover Your Investment Losses on Northstar Financial (Bermuda) 150 150 Robert Rex, Esq.

Northstar Financial (Bermuda) Lawsuit Did you invest in any of the Northstar Financial products ?  Stock Loss Recovery Lawyer If you invested in any of the Northstar Financial products you…

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  • Robert Rex, Esq.

Gregory McCloskey-Former Westpark Capital Broker-Permanently Barred From FINRA- Irvine, CA
Gregory McCloskey-Former Westpark Capital Broker-Permanently Barred From FINRA- Irvine, CA 150 150 Robert Rex, Esq.

July 2021- San Clemente, CA According to publicly available records Gregory McCloskey (CRD#2820510), a  former stockbroker who last worked for Westpark Capital,  has been permanently barred from FINRA. The Financial…

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  • Robert Rex, Esq.

Charles Stevens-Former D.H. Hill Broker-Discloses Regulatory Event, 2 Settled Customer Disputes, Pending Dispute and 5 IRS Liens- St. Augustine, FL
Charles Stevens-Former D.H. Hill Broker-Discloses Regulatory Event, 2 Settled Customer Disputes, Pending Dispute and 5 IRS Liens- St. Augustine, FL 150 150 Robert Rex, Esq.

July 2021-St. Augustine, FL According to publicly available records,  formerly a D.H. Hill Securities  financial advisor Charles Stevens,  discloses a regulatory event under review, 2 settled customer disputes and 1 pending…

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