• Robert Rex, Esq.

Windsor Street Capital (f/k/a Meyers Associates) Has Numerous Regulatory Events
Windsor Street Capital (f/k/a Meyers Associates) Has Numerous Regulatory Events 150 150 Robert Rex, Esq.

May 2018 —According to FINRA records,  stock brokerage firm Windsor Street Capital LP (formerly known as Meyers Associates),  discloses 3 pending regulatory events, 20 regulatory events that are final and 12 final arbitrations. The…

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  • Robert Rex, Esq.

Want to Sell Your Alternative Investments? Want to Recover Losses on REIT Investments?
Want to Sell Your Alternative Investments? Want to Recover Losses on REIT Investments? 150 150 Robert Rex, Esq.

April 2018 Investors owning non publicly traded alternative investments, such as real estate investment trusts (REITs) and oil and gas partnerships may not have been aware of the meaning of illiquid…

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  • Robert Rex, Esq.

Masood (Mike) Azad-Former First Allied Broker-Sanctioned by Securities Regulator-League City, TX
Masood (Mike) Azad-Former First Allied Broker-Sanctioned by Securities Regulator-League City, TX 150 150 Robert Rex, Esq.

April 2018 -League City, TX According to FINRA records, Masood (Mike) Husain Azad,  a   former stockbroker who was last employed by First Allied Securities, disclose  a prior regulatory event and a…

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  • Robert Rex, Esq.

John S. Jumper-Former Alluvion Securities Broker-Indicted for Embezzlement-Memphis, TN
John S. Jumper-Former Alluvion Securities Broker-Indicted for Embezzlement-Memphis, TN 150 150 Robert Rex, Esq.

April 2018-Memphis, TN John Sherman Jumper, 52, of Memphis, Tennessee was indicted by a federal grand jury for embezzling $5.7 million from a pension plan for the employees of Snowshoe…

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  • Robert Rex, Esq.

Stacy Cheney-Jamison-Former CUNA Brokerage Services Broker-Subject of $350K Unauthorized Trading Claim-Boca Raton, FL / Georgia
Stacy Cheney-Jamison-Former CUNA Brokerage Services Broker-Subject of $350K Unauthorized Trading Claim-Boca Raton, FL / Georgia 150 150 Robert Rex, Esq.

April 2018 -Boca Raton, FL-Atlanta, GA According to FINRA records, Stacy Cheney-Jamison ,  a currently unregistered  stockbroker who formerly was employed by CUNA Brokerage Services, disclose  a pending customer dispute. The Financial…

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  • Robert Rex, Esq.

Arshad Hussain-Former NEXT Financial Broker-Discharged by NEXT Financial for Improper Trading-Jasper, Alabama
Arshad Hussain-Former NEXT Financial Broker-Discharged by NEXT Financial for Improper Trading-Jasper, Alabama 150 150 Robert Rex, Esq.

April 2018 -Jasper, Alabama According to FINRA records, Arshad Hussain ,  a currently unregistered  stockbroker who formerly was employed by NEXT Financial Group, disclose 3 prior customer disputes, two terminations from employment and…

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  • Robert Rex, Esq.

Jim Clark-Worth Finanical Group Broker-Discloses Settlement of Customer Suit For Mishandling Account-Dallas, TX
Jim Clark-Worth Finanical Group Broker-Discloses Settlement of Customer Suit For Mishandling Account-Dallas, TX 150 150 Robert Rex, Esq.

April 2018 -Dallas, Texas According to publicly available records James  (Jim) Williard Clark ,  a  stockbroker who currently is employed by Worth Financial Group, disclose 4 prior regulatory issues, and  2 arbitration awards…

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  • Robert Rex, Esq.

Keith Fontenot-Wells Fargo Stockbroker-Discloses Settlement of Customer Suits-Lafayette, LA
Keith Fontenot-Wells Fargo Stockbroker-Discloses Settlement of Customer Suits-Lafayette, LA 150 150 Robert Rex, Esq.

April 2018 -Lafayette, LA According to publicly available records Keith A. Fontenot  (CRD#2296303) ,  a  stockbroker who currently is employed by Wells Fargo Clearing Services, disclose settlements in 2 customer disputes. The Financial…

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  • Robert Rex, Esq.

Joseph I. Yanofsky-Former Merrill Broker-Subject of $2.2M Customer Dispute-Greenwood, CO
Joseph I. Yanofsky-Former Merrill Broker-Subject of $2.2M Customer Dispute-Greenwood, CO 150 150 Robert Rex, Esq.

April 2018-Greenwood Village, Colorado According to FINRA records, former Merrill Lynch broker Joseph I. Yanofsky , discloses a recent regulatory suspension, a pending customer dispute, a termination from employment and 8 prior customer disputes that…

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  • Robert Rex, Esq.

Brian Berger-Former Newbridge Securities Broker-Sentenced for Fraud-Boca Raton, FL
Brian Berger-Former Newbridge Securities Broker-Sentenced for Fraud-Boca Raton, FL 150 150 Robert Rex, Esq.

April 2018-Boca Raton, FL The FINRA records of former stockbroker Brian M. Berger disclose a pending regulatory matter and two prior regulatory matters, a criminal conviction, 4 customer disputes and…

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