• Robert Rex, Esq.

Rebecca H. True of True Capital Advisors Discloses Customer Dispute Over Alternative Investments-
Rebecca H. True of True Capital Advisors Discloses Customer Dispute Over Alternative Investments- 150 150 Robert Rex, Esq.

April 2017-Orlando, FL The FINRA records of  Rebecca H. True ,  a  stockbroker who is currently registered with Triad Advisors disclose a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that…

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  • Robert Rex, Esq.

Kirk Gill Investigation-Former Morgan Stanley Broker-Settles Numerous Customer Suits-Tucson, AZ
Kirk Gill Investigation-Former Morgan Stanley Broker-Settles Numerous Customer Suits-Tucson, AZ 150 150 Robert Rex, Esq.

April 2019-Tucson, AZ We recently filed an arbitration claim with FINRA on behalf of an Arizona couple who allege that Kirk Gill over concentrated their retirement accounts with energy stocks and made…

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  • Robert Rex, Esq.

Scott V. Kaup-Former VSR Financial Services Broker-Discloses $1M+ Customer Dispute-Stuart, NE
Scott V. Kaup-Former VSR Financial Services Broker-Discloses $1M+ Customer Dispute-Stuart, NE 150 150 Robert Rex, Esq.

April 2017-Stuart, NE The FINRA records of  Scott V. Kaup ,  a  stockbroker who was formerly  employed by  VSR Financial Services  disclose a pending customer dispute involving alternative investments. The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

David S. Silberg-Former Aegis Capital Broker-Discloses Customer Complaints-Port Washington, NY
David S. Silberg-Former Aegis Capital Broker-Discloses Customer Complaints-Port Washington, NY 150 150 Robert Rex, Esq.

September 2019-Port Washington, NY-Tampa, FL The FINRA records of  David S. Silberg ,  a  broker who previously worked for  Aegis Capital Corp.   disclose a prior regulatory event,  3 prior final customer disputes and…

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  • Robert Rex, Esq.

Walter J. Marino-Former Legend Equities Broker-Discloses Regulatory Event and Numerous Customer Disputes
Walter J. Marino-Former Legend Equities Broker-Discloses Regulatory Event and Numerous Customer Disputes 150 150 Robert Rex, Esq.

April 2017- The FINRA records of  Walter J. Marino ,  a  former Legend Equities stockbroker who is currently not registered disclose a pending regulatory matter, 3 pending customer disputes, 9 prior final customer disputes, and 3…

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  • Robert Rex, Esq.

Thomas P. Smith-Former Titan Securities Broker-Discloses Customer Dispute Over Alternative Investment-Arlington, TX
Thomas P. Smith-Former Titan Securities Broker-Discloses Customer Dispute Over Alternative Investment-Arlington, TX 150 150 Robert Rex, Esq.

April 2017-Arlington, Texas The FINRA records of  Thomas P. Smith ,  a   stockbroker who is currently registered with Center Street Securities disclose a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…

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  • Robert Rex, Esq.

Clyde D. Jones-Titan Securities Broker-Discloses Customer Disputes Over Viatical Settlements-Whitesboro, Texas
Clyde D. Jones-Titan Securities Broker-Discloses Customer Disputes Over Viatical Settlements-Whitesboro, Texas 150 150 Robert Rex, Esq.

MAY 2018 UPDATE–See this for update.  ORIGINAL POST-April 2017-Whitesboro, Texas The FINRA records of  Clyde D. Jones ,  a   stockbroker who is currently registered with Titan Securities disclose 2 pending customer disputes, 2…

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  • Robert Rex, Esq.

Walter Parker-Titan Securities Broker-Discloses Customer Disputes Over UDF Investments-Rowlett, Texas
Walter Parker-Titan Securities Broker-Discloses Customer Disputes Over UDF Investments-Rowlett, Texas 150 150 Robert Rex, Esq.

SEE THIS FOR JANUARY 2020 UPDATE Rowlett, Texas APRIL 2018 UPDATE–Walt Parker suspended in connection with sale of alternative investments, assessed $7,500 fine by FINRA. Read more here.  UPDATE JULY…

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  • Robert Rex, Esq.

John Fenimore-Former Aegis Capital Broker-Discloses Customer Disputes Alleging Unsuitable Use of Margin-Hauppauge, NY
John Fenimore-Former Aegis Capital Broker-Discloses Customer Disputes Alleging Unsuitable Use of Margin-Hauppauge, NY 150 150 Robert Rex, Esq.

April 2017- Hauppauge, NY The FINRA records of  John David Fenimore ,  a  former Aegis Capital stockbroker who is currently not registered disclose a pending customer dispute and a prior customer dispute that has been settled.…

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  • Robert Rex, Esq.

Kent Argue – Former Investors Capital Broker- Discloses Customer Dispute – TULSA, OK
Kent Argue – Former Investors Capital Broker- Discloses Customer Dispute – TULSA, OK 150 150 Robert Rex, Esq.

April 2017- Tulsa, OK According to publicly available records Kent L. Argue, (CRD#4482886) ,  a  stockbroker who is currently not registered  and was previously registered with Investors Capital Corp. discloses a settled customer dispute. The…

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