• Robert Rex, Esq.

Royal Alliance, Sagepoint, FSC, Woodbury, Triad, Securities America and Others Are Now Osaic Wealth
Royal Alliance, Sagepoint, FSC, Woodbury, Triad, Securities America and Others Are Now Osaic Wealth 150 150 Robert Rex, Esq.

“Osaic Wealth” Is The Rebrand for Eight Broker Dealers August 2023 According to recent press, Advisor Group, one of the largest networks of independent broker dealers with more that 11,000…

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  • Robert Rex, Esq.

Mark A. Thompson- Former Arkadios Broker-Customer Seeks a Million in Damages Over Alternative Investment Losses-Atlanta, GA
Mark A. Thompson- Former Arkadios Broker-Customer Seeks a Million in Damages Over Alternative Investment Losses-Atlanta, GA 150 150 Robert Rex, Esq.

Mark A. Thompson Investigation May 2022- Atlanta, GA The FINRA records of  Mark Alan Thompson ,   a  stockbroker who is employed by  Arkadios Capital  disclose a pending customer dispute. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Jody Young formerly with Arkadios Capital
Rex Securities Law Investment Fraud Attorney Investigates Jody Young formerly with Arkadios Capital 150 150 Robert Rex, Esq.

Last Updated: November 2023 (Atlanta, GA) Jody Young Investigation Summary Here’s what you need to know about Atlanta, GA, stockbroker Jody Young: Name: Mr. Joseph Paul Young, Jr. Current Employer:…

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  • Robert Rex, Esq.

Patrick Chitwood- Former Arkadios Broker-Customer Seeks a Million in Damages Over Alternative Investment Losses-Birmingham, AL
Patrick Chitwood- Former Arkadios Broker-Customer Seeks a Million in Damages Over Alternative Investment Losses-Birmingham, AL 150 150 Robert Rex, Esq.

Patrick Chitwood Investigation August 2022-Birmingham, AL The FINRA records of  Patrick Rankin Chitwood ,  owner of Chitwood Advisory Group and Chitwood Wealth Management,  a  stockbroker who was formerly employed by  Arkadios Capital  disclose a…

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  • Robert Rex, Esq.

Triad Advisors Fined by Regulators Over LJM Preservation & Growth Fund -Atlanta, GA
Triad Advisors Fined by Regulators Over LJM Preservation & Growth Fund -Atlanta, GA 150 150 Robert Rex, Esq.

Triad Advisors Fined by Securities Regulators Over Sale of LJM Preservation & Growth Fund May 2022-Atlanta, GA Triad Advisors  is a broker dealer headquartered in Atlanta, Ga.  It has been a…

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Jack “JJ” Jones- Triad Advisors Broker- Discloses Customer Disputes & Regulatory Sanction -Houston, TX
Jack “JJ” Jones- Triad Advisors Broker- Discloses Customer Disputes & Regulatory Sanction -Houston, TX 150 150 ER

Jack “JJ” Jones Investigation May 2022- Houston, TX  According to publicly available records, Jack Lewis “JJ” Jones, a Triad Advisors broker discloses a regulatory sanction, 2 prior customer disputes and…

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  • Robert Rex, Esq.

Joseph Michaletz-DAI Securities Advisor-Discloses Customer Disputes Over LP’s & Direct Investments-Mankato, MN
Joseph Michaletz-DAI Securities Advisor-Discloses Customer Disputes Over LP’s & Direct Investments-Mankato, MN 150 150 Robert Rex, Esq.

Joseph Michaletz Investigation November 2021-Mankato, MN According to publicly available records Joseph G. Michaletz  ,  a  stockbroker who is currently registered with DAI Securities,  disclose 3 currently pending customer disputes…

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  • Robert Rex, Esq.

Nathan Katz- Former American Independent Securities Broker- Discloses Regulatory Event and Customer Suits-Largo, FL
Nathan Katz- Former American Independent Securities Broker- Discloses Regulatory Event and Customer Suits-Largo, FL 150 150 Robert Rex, Esq.

September 2021- Largo, FL  According to publicly available records,  Nathan G. Katz a former financial advisor who was previously registered with American Independent Securities Group, discloses a regulatory event barring him from…

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Mark Just – Former Triad Advisors Broker-Discloses Regulatory Event & Customer Suits- Indianapolis, IN
Mark Just – Former Triad Advisors Broker-Discloses Regulatory Event & Customer Suits- Indianapolis, IN 150 150 ER

August 2021 – Indianapolis, IN According to publicly available records of Mark William Just (CRD#1138738) ,  a broker who was last employed with Triad Advisors, Inc.,  discloses  a regulatory event, a…

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  • Robert Rex, Esq.

Darrin Cohen-Triad Advisors Broker-Discloses $600K in Pending Customer Disputes- Alpharetta, GA
Darrin Cohen-Triad Advisors Broker-Discloses $600K in Pending Customer Disputes- Alpharetta, GA 150 150 Robert Rex, Esq.

June 2021- Alpharetta, GA According to publicly available records,   Triad Advisors, Inc. financial advisor Darrin Cohen,  discloses 2 pending customer disputes. The Financial Industry Regulatory Authority (FINRA) is the agency that…

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