Theft

  • Robert Rex, Esq.

LPL Financial Broker Steals More Than $1 Million From Ninety Seven Year Old Dementia Patient
LPL Financial Broker Steals More Than $1 Million From Ninety Seven Year Old Dementia Patient 150 150 Robert Rex, Esq.

LPL Financial Broker Steals $1 Million + From Dementia Patient October 2022 A 97 year old lady, currently under the care of a court-appointed guardian due to her dementia is…

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  • Robert Rex, Esq.

Doug McKelvey- Former Morgan Stanley Broker-Accused of Misappropriating Customer Funds-Southlake, TX
Doug McKelvey- Former Morgan Stanley Broker-Accused of Misappropriating Customer Funds-Southlake, TX 150 150 Robert Rex, Esq.

Doug McKelvey Investigation September 2022-Southlake, TX  According to publicly available records Douglas M. McKelvey a former broker who was employed by Morgan Stanley ,  discloses a recent regulatory matter, a prior…

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  • Robert Rex, Esq.

Lynn Cawthorne -Former Cambridge Investment Research Broker- Sentenced to Federal Prison for Wire Fraud-Shreveport, LA
Lynn Cawthorne -Former Cambridge Investment Research Broker- Sentenced to Federal Prison for Wire Fraud-Shreveport, LA 150 150 Robert Rex, Esq.

Lynn Cawthorne- Former Cambridge Investment Broker Sentenced for Wire Fraud August 2022-Shreveport, LA Shreveport Times photo of Lynn Cawthorne According to publicly available records, Lynn Dale Cawthorne, a former broker,…

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  • ER

Jon Scheier -Former Edward Jones Broker-Barred From Securities Industry by Regulators – Denison, TX
Jon Scheier -Former Edward Jones Broker-Barred From Securities Industry by Regulators – Denison, TX 150 150 ER

Jon Scheier Investigation July 2022-Denison , TX  According to publicly available records Jon Scheier , a former broker who last worked for Edward Jones,  discloses a final regulatory matter resulting in a…

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Rex Securities Law Investment Fraud Attorney Investigates William Winchester III (aka Bill Woods) formerly with Raymond James Financial Services
Rex Securities Law Investment Fraud Attorney Investigates William Winchester III (aka Bill Woods) formerly with Raymond James Financial Services 150 150 ER

Last Updated: October 2023 (Chattanooga, TN) William Winchester Investigation Summary Here’s what you need to know about Chattanooga, TN, stockbroker Bill Woods: Name: Mr. William F. Winchester, III Current Employer:…

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  • Robert Rex, Esq.

Hector M. Flores- Former MML Investors Services Broker-Suspended by Regulators/ Sued for $750K- Lubbock, TX
Hector M. Flores- Former MML Investors Services Broker-Suspended by Regulators/ Sued for $750K- Lubbock, TX 150 150 Robert Rex, Esq.

Hector Flores Investigation May 2022-Lubbock, TX  According to publicly available records Hector Mario Flores, a broker who last worked for  MML Investors Services,  discloses a final regulatory matter, a settled customer…

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  • Robert Rex, Esq.

Mario Rivero Investigation -Former Wells Fargo Broker-Red Bank, New Jersey
Mario Rivero Investigation -Former Wells Fargo Broker-Red Bank, New Jersey 150 150 Robert Rex, Esq.

Mario E. Rivero Investigation March 2022-Red Bank, New Jersey We are investigating former Wells Fargo financial advisor Mario E. Rivero, Jr. According to FINRA records Mario Rivero discloses a recent bar…

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  • ER

Ronald Molo-Former Edward Jones Broker- Barred from Industry -Accused of Theft-Joliet, IL
Ronald Molo-Former Edward Jones Broker- Barred from Industry -Accused of Theft-Joliet, IL 150 150 ER

Ronald Molo Investigation March 2022-Joliet, IL The FINRA records of Ronald T. Molo, a broker who formerly worked for Edward Jones,  disclose 2 regulatory events, a civil suit, 5 prior…

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