• Robert Rex, Esq.

Stephen Hoshimi -Former Crescent Securities Group Broker- Discloses $23M+ in Settled Customer Disputes- Dallas, TX
Stephen Hoshimi -Former Crescent Securities Group Broker- Discloses $23M+ in Settled Customer Disputes- Dallas, TX 150 150 Robert Rex, Esq.

April 2019- Dallas, TX According to public records of Stephen J. Hoshimi  (CRD#1977772)  a  stockbroker previously employed by Crescent Securities Group, Capwest Securities and Securities America, disclose 4 regulatory events,…

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  • Robert Rex, Esq.

Steven Knuttila-Former Capital Financial Services Broker-Discloses 2 Regulatory Events, 23 Customer Suits and a Termination-Perham, MN
Steven Knuttila-Former Capital Financial Services Broker-Discloses 2 Regulatory Events, 23 Customer Suits and a Termination-Perham, MN 150 150 Robert Rex, Esq.

September  2019 – Perham, MN CAPITAL FINANCIAL SERVICES CLOSING DOWN FIRM–see this for more information about the closing down of the firm and transfer of accounts to Calton & Associates. …

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  • Robert Rex, Esq.

Richard Bernstein-Wells Fargo Broker-Dislcoses 2 Pending & 6 Final Customer Disputes-Incline Village, NV
Richard Bernstein-Wells Fargo Broker-Dislcoses 2 Pending & 6 Final Customer Disputes-Incline Village, NV 150 150 Robert Rex, Esq.

March 2019 – Incline Village, NV According to publicly available records  Richard Jay Bernstein  (CRD# 1113777) ,  a   registered stockbroker currently employed by Wells Fargo Clearing Services,  disclose 2 pending and 6…

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  • Robert Rex, Esq.

Jody Bowers-Former SagePoint Financial Broker-Subject of $6M Customer Suit Over ETF Investments-Abilene, TX
Jody Bowers-Former SagePoint Financial Broker-Subject of $6M Customer Suit Over ETF Investments-Abilene, TX 150 150 Robert Rex, Esq.

June 2019- Abilene, Texas We are currently investigating former SagePoint Financial financial advisor Jody Bowers on behalf of an elderly widow living in North Texas, who anticipates filing a FINRA…

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  • Robert Rex, Esq.

Scott Sibley-Former Raymond James Broker-Subject of Numerous Customer Complaints-Ft. Lauderdale, FL
Scott Sibley-Former Raymond James Broker-Subject of Numerous Customer Complaints-Ft. Lauderdale, FL 150 150 Robert Rex, Esq.

March 2019-Boca Raton, FL According to publicly available records Scott Allen Sibley  , (CRD# 1523981) ,  a   former stockbroker who last worked for Moors & Cabot,  discloses 3 prior regulatory events, 1 pending…

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  • Robert Rex, Esq.

Robert Berg-Summit Brokerage Services Broker-Discloses Customer Dispute Alleging Aggressive Trading- Danbury, CT
Robert Berg-Summit Brokerage Services Broker-Discloses Customer Dispute Alleging Aggressive Trading- Danbury, CT 150 150 Robert Rex, Esq.

March 2019 – Danbury, CT According to publicly available records  Robert Eugene Berg   (CRD#1218879) ,  a  stockbroker who is currently registered with Summit Brokerage Services,  disclose 1 pending and 2 prior customer disputes.…

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  • Robert Rex, Esq.

Raymond Clark – Woodstock Financial Group Broker- Discloses Customer Disputes-Staten Island, NY
Raymond Clark – Woodstock Financial Group Broker- Discloses Customer Disputes-Staten Island, NY 150 150 Robert Rex, Esq.

January 2019-Staten Island, NY According to publicly available records  Raymond William Clark , a  stockbroker who is currently registered with Woodstock Financial Group,  disclose 8 prior customer disputes and a termination from…

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  • Robert Rex, Esq.

Richard Wesselt-Former O.N. Equity Sales/Sterne Agee Broker-Discloses $10M Customer Dispute-Collegeville, PA
Richard Wesselt-Former O.N. Equity Sales/Sterne Agee Broker-Discloses $10M Customer Dispute-Collegeville, PA 150 150 Robert Rex, Esq.

April 2020 – Collegeville, PA According to publicly available records  Richard Michael Wesselt  (CRD# 2195569) ,  a   registered stockbroker currently employed by Fortune Financial Services, Inc. disclose 4 pending customer disputes…

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  • Robert Rex, Esq.

Bill Council-Raymond James Broker- Discloses 3 Pending Customer Complaints-San Diego, CA
Bill Council-Raymond James Broker- Discloses 3 Pending Customer Complaints-San Diego, CA 150 150 Robert Rex, Esq.

March 2019 – San Diego, CA According to publicly available records William  (“Bill”) Michael Council  (CRD#848504) ,  a  stockbroker who is currently registered with Raymond James & Associates, Inc.,  disclose  3 pending customer disputes…

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