• Robert Rex, Esq.

Kenneth Devane – Former VSR Financial Services Broker- Discloses Customer Dispute – Tampa, FL
Kenneth Devane – Former VSR Financial Services Broker- Discloses Customer Dispute – Tampa, FL 150 150 Robert Rex, Esq.

February 2018 – Tampa, FL The FINRA records of  Kenneth Manuel Devane  a  currently unregistered stockbroker who was formerly  employed by  VSR Financial Services  discloses settlement of a  customer dispute involving alternative investments. The…

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  • Robert Rex, Esq.

Jay A. Wallinger-Former VSR Financial Services Broker-Discloses Customer Suit Over Equipment Leasing Investment-Stuart, Nebraska
Jay A. Wallinger-Former VSR Financial Services Broker-Discloses Customer Suit Over Equipment Leasing Investment-Stuart, Nebraska 150 150 Robert Rex, Esq.

February 2018-Stuart, NE The FINRA records of  Jay Alan Wallinger ,  a  stockbroker who was formerly  employed by  VSR Financial Services  disclose the recent settlement of a customer dispute involving an alleged overconcentration…

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  • Robert Rex, Esq.

Harry Datys-Westpark Capital Stockbroker-Discloses Regulatory Issues and Customer Complaints- Boca Raton, FL
Harry Datys-Westpark Capital Stockbroker-Discloses Regulatory Issues and Customer Complaints- Boca Raton, FL 150 150 Robert Rex, Esq.

March 2019- Warwick, New York/Boca Raton, FL The FINRA records of  Harry Seth Datys,  a  stockbroker who is currently employed by Westpark Capital , disclose three regulatory events, 3 pending customer disputes, 13 prior…

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  • Robert Rex, Esq.

Larry M. Boggs-Former Ameriprise Broker-Sanctioned for Overtrading Accounts of Elderly Customers-Dallas, TX
Larry M. Boggs-Former Ameriprise Broker-Sanctioned for Overtrading Accounts of Elderly Customers-Dallas, TX 150 150 Robert Rex, Esq.

November 2019-Dallas, TX Larry Martin Boggs,  a  former stockbroker who worked for Wedbush Securities and Ameriprise Financial Services in Dallas was permanently barred from the securities industry by FINRA in…

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  • Robert Rex, Esq.

Thomas W. O’Brien-Raymond James Broker-Subject of $5M Customer Dispute-Shreveport, LA
Thomas W. O’Brien-Raymond James Broker-Subject of $5M Customer Dispute-Shreveport, LA 150 150 Robert Rex, Esq.

February 2018-Shreveport, LA The FINRA records of  Thomas W. O’Brien,  a  stockbroker who is currently employed by Raymond James & Assoc. disclose 2 pending customer disputes and 2 prior final customer disputes.…

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  • Robert Rex, Esq.

Gil Parks-Former Ameriprise Broker-Facing Numerous Customer Suits-Stephenville, TX
Gil Parks-Former Ameriprise Broker-Facing Numerous Customer Suits-Stephenville, TX 150 150 Robert Rex, Esq.

JULY 2018 UPDATE-Stephenville, TX  According to publicly available records Tom “Gil” Parks, Jr. , (CRD#1558909) ,  a  stockbroker who is not currently registered and who last was employed by Ameriprise Financial Services  discloses 6…

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  • Robert Rex, Esq.

Jeffrey R. Wilson-Wells Fargo Broker-Customer Wins Arbitration Over Energy Investments-Las Cruces, NM
Jeffrey R. Wilson-Wells Fargo Broker-Customer Wins Arbitration Over Energy Investments-Las Cruces, NM 150 150 Robert Rex, Esq.

January 2018-Las Cruces, NM The FINRA records of  Jeffrey Randolph Wilson  ,  a  stockbroker who is currently  registered with Wells Fargo Clearing Services disclose a currently pending customer dispute over energy investments , a…

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  • Robert Rex, Esq.

Daniel T. Fischer-Former Four Points Capital Partners Broker-Barred From Securities Industry-Melville, NY
Daniel T. Fischer-Former Four Points Capital Partners Broker-Barred From Securities Industry-Melville, NY 150 150 Robert Rex, Esq.

UPDATE FEBRUARY 2018-The SEC barred Daniel T. Fischer indefinitely from association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or NRSRO. ORIGINAL POST-January 2018-Melville, New…

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  • Robert Rex, Esq.

Zachary Berkey-Former Four Points Capital Broker-Fined by Regulator-Melville, NY
Zachary Berkey-Former Four Points Capital Broker-Fined by Regulator-Melville, NY 150 150 Robert Rex, Esq.

June 2019-Melville, New York / Texas Zachary S. Berkey , a currently unregistered stockbroker who last worked for Four Points Capital Partners, a Texas LLC, (Four Points) was named in a…

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