• Robert Rex, Esq.

Daniel Rebmann-UBS Broker-Discloses Customer Disputes-San Antonio, TX
Daniel Rebmann-UBS Broker-Discloses Customer Disputes-San Antonio, TX 150 150 Robert Rex, Esq.

June 2020- San Antonio, TX The FINRA records of Daniel Rebmann, a broker currently employed  by UBS Financial Services, disclose two customer disputes. The Financial Industry Regulatory Authority (FINRA) is the agency that…

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  • Robert Rex, Esq.

Gabe Hynes -Former Kestra Investment Broker- Discloses Two Regulatory Events, Two Customer Disputes and Two Terminations-St. Augustine, FL
Gabe Hynes -Former Kestra Investment Broker- Discloses Two Regulatory Events, Two Customer Disputes and Two Terminations-St. Augustine, FL 150 150 Robert Rex, Esq.

May 2020- St. Augustine, FL The FINRA records of Gabriel (Gabe) William Hynes, a broker previously employed  by Kestra Investment Services , disclose two regulatory events, one resulting in his bar from the…

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  • Robert Rex, Esq.

Patrick Phillips-Allstate Financial Services Broker-Discloses Regulatory Event and a Customer Dispute-Amarillo, TX
Patrick Phillips-Allstate Financial Services Broker-Discloses Regulatory Event and a Customer Dispute-Amarillo, TX 150 150 Robert Rex, Esq.

May 2020-Amarillo, TX According to publicly available records of Patrick H. Phillips, Jr.  (CRD#1021928) ,  a  stockbroker with Allstate Financial Services  discloses  a regulatory event and a customer dispute. The Financial…

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  • Robert Rex, Esq.

Michael Kamperman-Former HD Vest Broker-Discloses Regulatory Event, Customer Disputes and a Tax Lien-Waco, TX
Michael Kamperman-Former HD Vest Broker-Discloses Regulatory Event, Customer Disputes and a Tax Lien-Waco, TX 150 150 Robert Rex, Esq.

May 2020-Waco, TX According to publicly available records of Michael Kamperman (CRD#2002603) ,  a  former stockbroker who last worked for HD Vest Investment Services  discloses  a regulatory event, customer disputes and…

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  • Robert Rex, Esq.

Richard Cagle-Former Hilltop Securities Broker- Barred From FINRA-Discloses Regulatory Event and Two Customer Disputes-Corpus Christi, TX
Richard Cagle-Former Hilltop Securities Broker- Barred From FINRA-Discloses Regulatory Event and Two Customer Disputes-Corpus Christi, TX 150 150 Robert Rex, Esq.

April 2020- Corpus Christi, TX The FINRA records of Richard Earl Cagle, a broker previously employed  by  Hilltop Securities Independent Network, Inc. , disclose  a regulatory event resulting in his bar from the…

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  • Robert Rex, Esq.

Leonard “Lenny” Kinsman-Former Wells Fargo Broker- Subject of Customer Suits & Regulatory Bar-Staten Island, NY
Leonard “Lenny” Kinsman-Former Wells Fargo Broker- Subject of Customer Suits & Regulatory Bar-Staten Island, NY 150 150 Robert Rex, Esq.

June 2020-Staten Island, NY According to publicly available records of Leonard “Lenny” Kinsman (CRD#2816535) ,  a former broker who was last registered with Wells Fargo Advisors Financial Network, discloses 5 prior…

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  • Robert Rex, Esq.

Michael Rappa-Former Foresters Equity Services Broker Barred from FINRA-Discloses Regulatory Event and Two Pending Customer Disputes-Rocklin, CA
Michael Rappa-Former Foresters Equity Services Broker Barred from FINRA-Discloses Regulatory Event and Two Pending Customer Disputes-Rocklin, CA 150 150 Robert Rex, Esq.

June 2020- San Diego, CA The FINRA records of Michael Rappa, a broker previously employed  by  Foresters Equity Services,  , disclose  a regulatory event resulting in his bar from the securities industry…

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  • Robert Rex, Esq.

Donald Teboe- Former Cantella Broker- Barred from Securities Industry- Clinton, MI
Donald Teboe- Former Cantella Broker- Barred from Securities Industry- Clinton, MI 150 150 Robert Rex, Esq.

April 2020- Clinton, MI The FINRA records of Donald Teboe, a broker previously employed  by  Cantella & Co., Inc. , disclose  a regulatory event resulting in his bar from the securities industry. The Financial…

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  • Robert Rex, Esq.

John L. Mitchell-Titan Securities Broker-Discloses Customer Disputes – Addison, TX
John L. Mitchell-Titan Securities Broker-Discloses Customer Disputes – Addison, TX 150 150 Robert Rex, Esq.

April 2020-Addison, TX According to publicly available records of John Leighton Mitchell (CRD#336967) ,  a broker with Titan Securities, discloses one final and three currently pending customer disputes. The Financial Industry…

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  • Robert Rex, Esq.

Ramon Esparza-Former Mutual of Omaha Financial Advisor-Barred from Securities Industry-McAllen, TX
Ramon Esparza-Former Mutual of Omaha Financial Advisor-Barred from Securities Industry-McAllen, TX 150 150 Robert Rex, Esq.

April  2020- McAllen, TX The FINRA records of Ramon Esparza  , a broker previously employed  by  Mutual of Omaha Investor Services, Inc. , disclose a regulatory event resulting in his bar from the securities industry and…

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