• Robert Rex, Esq.

Tamara Steele- Former Comprehensive Asset Management and Servicing Broker-Named in SEC Suit Over Behavioral Recognition Systems-Pendleton, Indiana
Tamara Steele- Former Comprehensive Asset Management and Servicing Broker-Named in SEC Suit Over Behavioral Recognition Systems-Pendleton, Indiana 150 150 Robert Rex, Esq.

October 2018- Pendleton, Indiana According to publicly available records Tamara R. Steele   (CRD#3227494) ,  a  stockbroker who was last registered with Comprehensive Asset Management and Servicing (CAMAS)  a/k/a Aurora Private Wealth or…

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  • Robert Rex, Esq.

Charles Bloom- Former Chelsea Financial Services Broker-Barred From Securities Industry- Royal Palm Beach, FL
Charles Bloom- Former Chelsea Financial Services Broker-Barred From Securities Industry- Royal Palm Beach, FL 150 150 Robert Rex, Esq.

October 2018- Royal Palm Beach, FL Publicly available records disclose that Charles Lewis Bloom,  a former stockbroker who was previously employed by Chelsea Financial Services, discloses 3  regulatory events and a currently…

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  • Robert Rex, Esq.

Gary Lee Miller-Former LPL Financial Broker-Discloses Customer Dispute Involving Annuities- Eau Claire, WI
Gary Lee Miller-Former LPL Financial Broker-Discloses Customer Dispute Involving Annuities- Eau Claire, WI 150 150 Robert Rex, Esq.

October 2018 – Eau Claire, WI According to publicly available records Gary Lee Miller   (CRD#2669776) ,  a  former stockbroker who was last employed by LPL Financial ,  disclose a settled customer dispute. The Financial Industry…

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  • Robert Rex, Esq.

Craig Wakefield-Merrill Lynch Broker-Discloses $100K Customer Dispute- Houston, TX
Craig Wakefield-Merrill Lynch Broker-Discloses $100K Customer Dispute- Houston, TX 150 150 Robert Rex, Esq.

October 2018- Houston, TX According to FINRA records, Craig D. Wakefield,  a stockbroker who is currently registered with Merrill Lynch, Pierce, Fenner & Smith (Merrill Lynch) discloses a currently pending…

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  • Robert Rex, Esq.

Bill Riley-Former Silver Oaks Securities Broker-Subject of $600K Customer Suit-Ft. Worth, TX
Bill Riley-Former Silver Oaks Securities Broker-Subject of $600K Customer Suit-Ft. Worth, TX 150 150 Robert Rex, Esq.

September 2018 – Ft. Worth, Texas According to publicly available records  William E. Riley, Jr. ,  a  currently unregistered stockbroker, who was last registered with Silver Oak Securities ,  disclose a pending customer…

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  • Robert Rex, Esq.

Thomas Meier – Former Morgan Stanley Broker- Discloses 14 Customer Disputes- Miami, FL
Thomas Meier – Former Morgan Stanley Broker- Discloses 14 Customer Disputes- Miami, FL 150 150 Robert Rex, Esq.

January 2020 – Miami, FL According to publicly available records Thomas Alan Meier  (CRD#1146044) ,  a  former stockbroker who was last registered with Morgan Stanley,  disclose a Regulatory Event and 14 prior customer disputes.…

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  • Robert Rex, Esq.

Joel Blumenschein – Former Freedom Investors Corp. Broker -Discloses a Regulatory Event and Customer Dispute- Brookfield, WI
Joel Blumenschein – Former Freedom Investors Corp. Broker -Discloses a Regulatory Event and Customer Dispute- Brookfield, WI 150 150 Robert Rex, Esq.

September 2018 – Brookfield, WI According to publicly available records Joel Blumenschein  (CRD#1372334) ,  a  stockbroker who formerly was registered with Freedom Investors Corp. ,  disclose a Regulatory Event and a pending customer dispute…

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  • Robert Rex, Esq.

Lorenzo Esteva-Former Merrill Lynch Broker-Discloses Numerous Customer Disputes-Miami, FL
Lorenzo Esteva-Former Merrill Lynch Broker-Discloses Numerous Customer Disputes-Miami, FL 150 150 Robert Rex, Esq.

September 2018- Miami, FL According to publicly available records Lorenzo Esteva  (CRD#2170595) , a  former stockbroker previously registered with Merrill Lynch , disclose a regulatory event,  six prior and one currently pending customer disputes, and a termination…

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  • Robert Rex, Esq.

Dean Grossnickle-Former Gradient Securities Broker-Discloses Settlement of Customer Dispute – Arden Hills, MN
Dean Grossnickle-Former Gradient Securities Broker-Discloses Settlement of Customer Dispute – Arden Hills, MN 150 150 Robert Rex, Esq.

September 2018- Arden Hills, MN The FINRA records of  Dean Grossnickle,  a  stockbroker who formerly was  employed by Gradient Securities disclose the settlement of a  customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…

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