• Robert Rex, Esq.

Jens Pinkernell Suspended by Texas Securities Regulators-Gunter, TX
Jens Pinkernell Suspended by Texas Securities Regulators-Gunter, TX 150 150 Robert Rex, Esq.

October 2016-Gunter, Texas The Texas State Securities Board (TSSB)  entered an order suspending the investment adviser registration of Jens Pinkernell and his company J. Pinkernell Global Wealth, LLC for five years.…

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  • Robert Rex, Esq.

Mickey Long-VSR Financial Broker- Sanctioned by Texas State Securities Board-Plano, TX
Mickey Long-VSR Financial Broker- Sanctioned by Texas State Securities Board-Plano, TX 150 150 Robert Rex, Esq.

October 2016-Plano, Texas The Texas State Securities Board (TSSB) entered a Disciplinary Order against M. F. (Mickey) Long II who operates First Financial Services Group in Plano, TX, and stock brokerage…

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  • Robert Rex, Esq.

Robert B. Hardcastle-Former VSR Financial Broker-Discloses Settlement of Customer Disputes-Chesterfield, MO.
Robert B. Hardcastle-Former VSR Financial Broker-Discloses Settlement of Customer Disputes-Chesterfield, MO. 150 150 Robert Rex, Esq.

September 2016-Chesterfield, MO The FINRA records of  Robert B. Hardcastle,  a  stockbroker who was formerly employed by  VSR Financial Services  disclose 11 prior customer disputes that are final. The Financial Industry Regulatory Authority (FINRA) is the agency that…

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  • Robert Rex, Esq.

Athanasios Tomaras-Former Fulcrum Securities Broker-Discloses Suit Over Energy Investments-Oldsmar, FL
Athanasios Tomaras-Former Fulcrum Securities Broker-Discloses Suit Over Energy Investments-Oldsmar, FL 150 150 Robert Rex, Esq.

Oldsmar, Florida-UPDATE OCTOBER 2017-In October 2016 a customer of Fulcrum Securities file FINRA arbitration 16-02962 seeking damages of $189,000 and alleging that Mr. Tomaras made unsuitable investment recommendations in equities…

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  • Robert Rex, Esq.

James E. Mahan-Former Raymond James Broker-Sanctioned by Securities Regulator-New Braunfels, TX
James E. Mahan-Former Raymond James Broker-Sanctioned by Securities Regulator-New Braunfels, TX 150 150 Robert Rex, Esq.

August 2016-New Braunfels, Texas The FINRA records of  James E. Mahan,  a  former stockbroker who most recently worked for Raymond James Financial Services  disclose a recent regulatory matter resulting in his permanent…

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  • Robert Rex, Esq.

Douglas P. Simanski-Former NEXT Financial Group Broker-Discharged for Theft
Douglas P. Simanski-Former NEXT Financial Group Broker-Discharged for Theft 150 150 Robert Rex, Esq.

Altoona, PA UPDATE MAY 2017-The FINRA records of former NEXT Financial Group broker Douglas Simanski currently disclose 13 pending customer disputes and 3 customer disputes that are final. The newly…

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  • Robert Rex, Esq.

Charles C. Shafe-Transam Securities Broker-Discloses Customer Disputes Over Alternative Investments
Charles C. Shafe-Transam Securities Broker-Discloses Customer Disputes Over Alternative Investments 150 150 Robert Rex, Esq.

MAY 2018 UPDATE-Charles C. Shafe discloses a pending customer dispute in which a customer of Transam Securities alleges damages of $15,597 in connection with a real estate investment. ORIGINAL POST…

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  • Robert Rex, Esq.

Raymond T. Clark-Former Dynasty Capital Partners Broker-Discloses 6 Pending Customer Disputes
Raymond T. Clark-Former Dynasty Capital Partners Broker-Discloses 6 Pending Customer Disputes 150 150 Robert Rex, Esq.

August 2016- Buffalo, New York The FINRA records of  Raymond T. Clark,  a  former stock broker who FINRA has permanently barred from acting as a broker or otherwise associating with firms that…

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  • Robert Rex, Esq.

Joseph M. Thurnherr-Former First Standard Financial Broker-Discloses Pending Customer Disputes
Joseph M. Thurnherr-Former First Standard Financial Broker-Discloses Pending Customer Disputes 150 150 Robert Rex, Esq.

UPDATE MARCH 2018-Joseph M. Thurnherr is now employed by Spartan Capital Securities and has another customer dispute disclosed on his BrokerCheck report. See this for details.  Meyers Associates is now …

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  • Robert Rex, Esq.

Leslie R. Cabrinha-Centaurus Financial Broker-Discloses Pending Customer Dispute Alleging Damages of $1M
Leslie R. Cabrinha-Centaurus Financial Broker-Discloses Pending Customer Dispute Alleging Damages of $1M 150 150 Robert Rex, Esq.

August 2016- Petersburg, VA The FINRA records of  Leslie R. Cabrinha,  a  stock broker who is currently employed by Centaurus Financial  disclose  a currently pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…

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