• Robert Rex, Esq.

Daniel W. Staudacher-PFS Investments Broker-Discloses Regulatory Sanction
Daniel W. Staudacher-PFS Investments Broker-Discloses Regulatory Sanction 150 150 Robert Rex, Esq.

January 2017- Dallas, Texas According to publicly available records Daniel W. Staudacher , (CRD# 2878221) ,  a  stockbroker who is currently employed by PFS Investments,  disclose a recent FINRA regulatory action resulting in a…

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  • Robert Rex, Esq.

John Piro-Joseph Gunnar Broker-Discloses Customer Dispute Alleging Churning
John Piro-Joseph Gunnar Broker-Discloses Customer Dispute Alleging Churning 150 150 Robert Rex, Esq.

January 2017-Melville, New York According to publicly available records John J. Piro , (CRD# 4539787) ,  a  stockbroker currently employed by Joseph Gunnar & Co. ,  disclose a pending customer dispute. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

John Simpson-Former RBC Capital Markets Broker-Discloses $11M Customer Suit
John Simpson-Former RBC Capital Markets Broker-Discloses $11M Customer Suit 150 150 Robert Rex, Esq.

December 2016-Hunt Valley, MD The FINRA records of  John Scott Simpson,  a  stockbroker who formerly worked for RBC Capital Markets, was permanently barred from acting as a broker or otherwise associating with firms that…

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  • Robert Rex, Esq.

Tye Williams-Former NEXT Financial Broker- Barred From Securities Industry-Frisco, TX
Tye Williams-Former NEXT Financial Broker- Barred From Securities Industry-Frisco, TX 150 150 Robert Rex, Esq.

September 2016-Frisco, Texas Tye Williams, a stockbroker who formerly worked for NEXT Financial Group was barred by the Financial Industry Regulatory Authority (FINRA) from acting as a broker or otherwise…

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  • Robert Rex, Esq.

Rick Davidson-Former Morgan Stanley Broker-Discloses Settlement of Customer Suits
Rick Davidson-Former Morgan Stanley Broker-Discloses Settlement of Customer Suits 150 150 Robert Rex, Esq.

SEPTEMBER 2018 The FINRA records of  Rick A. Davidson,  a  stockbroker who is currently employed by  National Securities Corporation  disclose 5 prior customer disputes that that are final  and a separation from employment after allegations. The…

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  • Robert Rex, Esq.

Charles J. Lawrence-Former Morgan Stanley Broker-Barred From Industry For Exploitation of Elderly Customer
Charles J. Lawrence-Former Morgan Stanley Broker-Barred From Industry For Exploitation of Elderly Customer 150 150 Robert Rex, Esq.

JANUARY 2020 UPDATE–Charles Lawrence barred from industry by FINRA for exploitation of elderly customer. See this for more information.  September 2016-Palm Harbor, Florida The FINRA records of  Charles J. Lawrence,  a  stockbroker who…

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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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