UIT (Unit Investment Trust)

  • Robert Rex, Esq.

E.Kyle Davis-Former Raymond James Broker-Subject of $500K Suit Over Unit Investment Trust-Atlanta, GA
E.Kyle Davis-Former Raymond James Broker-Subject of $500K Suit Over Unit Investment Trust-Atlanta, GA 150 150 Robert Rex, Esq.

January 2020 – Atlanta, GA The FINRA records of E. Kyle Davis  , a broker with Ameriprise FInancial Services discloses 2 prior regulatory events, a pending customer dispute  and 3 prior customer disputes.…

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  • Robert Rex, Esq.

Mark Tauzin-Former LPL Financial Broker-Discloses Regulatory Event, Customer Dispute & Termination-Lafayette, LA
Mark Tauzin-Former LPL Financial Broker-Discloses Regulatory Event, Customer Dispute & Termination-Lafayette, LA 150 150 Robert Rex, Esq.

February 2019- Lafayette, LA According to publicly available records Mark Tauzin   (CRD#1716373) ,  a  currently unregistered stockbroker who was last  registered with LPL Financial,  disclose a regulatory event , a prior customer dispute…

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  • Robert Rex, Esq.

Tom Brolle Investigation-Former Morgan Stanley Broker-Newton, PA
Tom Brolle Investigation-Former Morgan Stanley Broker-Newton, PA 150 150 Robert Rex, Esq.

May 2018-Newton, PA According to FINRA records, Bruce Thomas Brolle ,  a stockbroker who is not currently registered with any broker dealer, discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is…

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  • Robert Rex, Esq.

Mason W. Gann-Former Berthel Fisher Broker-Subject of Customer Disputes -Sanctioned by Regulator-Dallas, TX
Mason W. Gann-Former Berthel Fisher Broker-Subject of Customer Disputes -Sanctioned by Regulator-Dallas, TX 150 150 Robert Rex, Esq.

Mason Gann Investigation September  2022- Dallas, TX The FINRA records of Mason W. Gann, a stockbroker who is not currently registered with any broker dealer and who was last employed…

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  • Robert Rex, Esq.

Richard Shotz-Former Morgan Stanley Broker-Suspended by Regulator for Sale of UITs-Daytona Beach, FL
Richard Shotz-Former Morgan Stanley Broker-Suspended by Regulator for Sale of UITs-Daytona Beach, FL 150 150 Robert Rex, Esq.

March 2018- Daytona Beach, Florida The FINRA records of  Richard Alan Shotz  ,  a  stockbroker who was last employed by  Wells Fargo and Morgan Stanley disclose a recent regulatory matter resulting in his suspension. The…

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  • Robert Rex, Esq.

Christopher Hickman-Former Cetera Advisors Broker-Discloses a Regulatory Event, 7 Customer Disputes -Delray Beach, FL
Christopher Hickman-Former Cetera Advisors Broker-Discloses a Regulatory Event, 7 Customer Disputes -Delray Beach, FL 150 150 Robert Rex, Esq.

May 2019- Delray Beach, FL According to publicly available records Christopher Robert Hickman. (CRD#3267599) , a stockbroker who is not currently registered, and who last was employed by Cetera Advisors , disclose a regulatory event and  seven…

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  • Robert Rex, Esq.

Glenn R. King- Prior Buckman, Buckman & Reid, Inc. Broker- Discloses FINRA Sanction, Numerous Customer Disputes – Shrewsbury, NJ
Glenn R. King- Prior Buckman, Buckman & Reid, Inc. Broker- Discloses FINRA Sanction, Numerous Customer Disputes – Shrewsbury, NJ 150 150 Robert Rex, Esq.

August 2017 – Shrewsbury, NJ According to publicly available records  Glenn Robert King (CRD#2191091) , a former stockbroker who was last registered with Buckman, Buckman & Reid, Inc. disclose a regulatory event,…

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  • Robert Rex, Esq.

Anthony J. Verzi-Former Morgan Stanley Broker-Discloses Customer Dispute/Regulatory Sanction Over UIT Sales-Melbourne, FL
Anthony J. Verzi-Former Morgan Stanley Broker-Discloses Customer Dispute/Regulatory Sanction Over UIT Sales-Melbourne, FL 150 150 Robert Rex, Esq.

The FINRA records of Anthony J. Verzi ,  a  stockbroker who formerly was employed by Morgan Stanley disclose a final regulatory event and a pending customer dispute, both of which relate to the…

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