• 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…

read more
  • 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…

read more
  • 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…

read more
  • 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…

read more
  • 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…

read more
  • 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…

read more
  • 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…

read more
  • 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…

read more
  • Robert Rex, Esq.

Stock Market Losses? –How to Recover Investment Losses Resulting From the COVID 19 Pandemic
Stock Market Losses? –How to Recover Investment Losses Resulting From the COVID 19 Pandemic 150 150 Robert Rex, Esq.

April 2020 Retirees and Those Anticipating Retirement In the Near Term Financial advisors are charged with a duty to make “suitable recommendations” to their customers. For those anticipating retirement in…

read more
  • Robert Rex, Esq.

Cecil Allen Ross-Former LPL Financial Broker-Discloses Regulatory Event and Customer Dispute-San Angelo, TX
Cecil Allen Ross-Former LPL Financial Broker-Discloses Regulatory Event and Customer Dispute-San Angelo, TX 150 150 Robert Rex, Esq.

April 2020-San Angelo, TX According to publicly available records of Cecil Allen Ross (CRD#2391047) ,  a  former stockbroker who last worked for LPL Financial,  discloses  a regulatory event and a customer…

read more
Enter your
text here

You cannot copy content of this page