• Robert Rex, Esq.

Jon Pariser-Former Independent Financial Group Broker-Subject of $2.7M Customer Suits Over Note Sales-Pacific Grove, CA
Jon Pariser-Former Independent Financial Group Broker-Subject of $2.7M Customer Suits Over Note Sales-Pacific Grove, CA 150 150 Robert Rex, Esq.

December 2018-Pacific Grove, CA According to publicly available records    Jon R. Pariser , a  former stockbroker who was last registered with Independent Financial Group , and before that SWS Financial Services,  disclose…

read more
  • Robert Rex, Esq.

Kestra To Be Put Up For Sale-Austin, Texas
Kestra To Be Put Up For Sale-Austin, Texas 150 150 Robert Rex, Esq.

December 2018- Austin, Texas The Investment News reports that broker dealer Kestra is being put up for sale. Goldman Sachs has been hired as its investment banker to head up…

read more
  • Robert Rex, Esq.

All American Oil & Gas Inc. Losses? How to Recover Damages
All American Oil & Gas Inc. Losses? How to Recover Damages 150 150 Robert Rex, Esq.

November 2018, San Antonio, TX All American Oil & Gas Inc. and its subsidiaries, Kern River Holdings Inc., and Western Power & Steam Inc.  filed for Chapter 11 Bankruptcy on…

read more
  • Robert Rex, Esq.

Celia Mae Scott-LPL Financial Broker- Discloses Settlement of Customer Dispute-Beaumont, TX
Celia Mae Scott-LPL Financial Broker- Discloses Settlement of Customer Dispute-Beaumont, TX 150 150 Robert Rex, Esq.

November 2018-Beaumont, TX According to publicly available records Celia Mae Scott , (CRD# 2870484) ,  a  stockbroker who was previously registered with AXA Advisors,  disclose the settlement of a customer dispute .  The…

read more
  • Robert Rex, Esq.

Cecil Allen Ross- LPL Financial Broker- Discloses Customer Dispute- San Angelo, TX
Cecil Allen Ross- LPL Financial Broker- Discloses Customer Dispute- San Angelo, TX 150 150 Robert Rex, Esq.

November 2018-San Angelo, TX According to publicly available records Cecil Allen Ross , (CRD# 2391047) ,  a  stockbroker who was previously registered with Raymond James Financial Services, Inc.,  disclose a prior customer dispute .  The…

read more
  • Robert Rex, Esq.

Rhino Capital Group Investment Losses? How to Recover Damages.
Rhino Capital Group Investment Losses? How to Recover Damages. 150 150 Robert Rex, Esq.

November 2018 We are investigating options for recovery of damages for investors who may have suffered losses on the following : Global Credit Recovery Delmarva Capital DeVille Asset Management Rhino…

read more
  • Robert Rex, Esq.

Wesley Perkins-W&P Perkins Investments-Charged With Cherry-Picking Trades-Lafayette, LA
Wesley Perkins-W&P Perkins Investments-Charged With Cherry-Picking Trades-Lafayette, LA 150 150 Robert Rex, Esq.

September 2021- Lafayette, LA The FINRA records of  Wesley Kyle Perkins ,  a  former stock broker who is not currently registered and who was last employed by Purshe Kaplan Sterling Investments ,  disclose  that he is…

read more
  • Robert Rex, Esq.

David Colflesh-Former NYLife Securities Broker-Subject of Multiple Customer Suits Over Mutual Funds-Tarkio, MO
David Colflesh-Former NYLife Securities Broker-Subject of Multiple Customer Suits Over Mutual Funds-Tarkio, MO 150 150 Robert Rex, Esq.

October 2018- Tarkio, Missouri The FINRA records of  David R. Colflesh ,  a  former stock broker who is not currently registered and who was last employed by NYLife Securities ,  disclose  a regulatory suspension and 18 prior…

read more
  • Robert Rex, Esq.

How to Recover Losses on Behavioral Recognition Systems (BRS Labs) now known as Giant Gray-Houston, TX
How to Recover Losses on Behavioral Recognition Systems (BRS Labs) now known as Giant Gray-Houston, TX 150 150 Robert Rex, Esq.

October 2018- The SEC has charged Houston based Behavioral Recognition Systems (now known as Giant Gray) and its CEO Ray C. Davis with soliciting over $28 million from investors and…

read more
  • Robert Rex, Esq.

Tamara Steele- Former Comprehensive Asset Management and Servicing Broker-Named in SEC Suit Over Behavioral Recognition Systems-Pendleton, Indiana
Tamara Steele- Former Comprehensive Asset Management and Servicing Broker-Named in SEC Suit Over Behavioral Recognition Systems-Pendleton, Indiana 150 150 Robert Rex, Esq.

October 2018- Pendleton, Indiana According to publicly available records Tamara R. Steele   (CRD#3227494) ,  a  stockbroker who was last registered with Comprehensive Asset Management and Servicing (CAMAS)  a/k/a Aurora Private Wealth or…

read more
Enter your
text here

You cannot copy content of this page