• Robert Rex, Esq.

Dennis Van Patter-Former VSR Financial Services Broker-Discloses Pending Customer Disputes-Plano, TX
Dennis Van Patter-Former VSR Financial Services Broker-Discloses Pending Customer Disputes-Plano, TX 150 150 Robert Rex, Esq.

February  2017-Plano, Texas According to public records former VSR Financial Services broker Dennis Van Patter discloses a prior final regulatory event, 7 prior customer disputes that are final and 3 pending customer…

read more
  • Robert Rex, Esq.

Mickey Long-Former VSR Financial Services Broker-Discloses Pending Customer Disputes-Plano, TX
Mickey Long-Former VSR Financial Services Broker-Discloses Pending Customer Disputes-Plano, TX 150 150 Robert Rex, Esq.

February  2017-Plano, Texas According to public records former VSR Financial Services broker M. F. (Mickey) Long discloses a prior final regulatory event, 10 prior customer disputes that are final and…

read more
  • Robert Rex, Esq.

David H. Fagenson-Former UBS Broker-Discloses Suspension, Termination and Customer Disputes-Palm Beach, FL
David H. Fagenson-Former UBS Broker-Discloses Suspension, Termination and Customer Disputes-Palm Beach, FL 150 150 Robert Rex, Esq.

December 2018-Palm Beach, FL According to publicly available records David H. Fagenson , (CRD# 1652012) ,  a  stockbroker who is currently registered with Newbridge Securities disclose a recent regulatory sanction, 2 pending customer disputes, 9…

read more
  • Robert Rex, Esq.

Brett S. Murphy-Former Oppenheimer Broker-Discloses $2M Pending Customer Dispute-Boca Raton, FL
Brett S. Murphy-Former Oppenheimer Broker-Discloses $2M Pending Customer Dispute-Boca Raton, FL 150 150 Robert Rex, Esq.

February 2017-Boca Raton, FL According to publicly available records Brett S. Murphy , (CRD# 2434384) ,  a  stockbroker who is currently registered with Revere Securities, LLC  disclose a pending customer dispute.  The Financial Industry Regulatory Authority…

read more
  • Robert Rex, Esq.

Michael J. Spears-IMS Securities Broker-Discloses Two Pending Customer Disputes Involving REITs-Houston
Michael J. Spears-IMS Securities Broker-Discloses Two Pending Customer Disputes Involving REITs-Houston 150 150 Robert Rex, Esq.

February 2017-Houston, Texas According to publicly available records Michael J. Spears , (CRD# 4501523) ,  a  stockbroker who is currently registered with IMS Securities  discloses two pending customer disputes.  The Financial Industry Regulatory Authority (FINRA) is…

read more
  • Robert Rex, Esq.

From Securities Regulator-List Of Things Your StockBroker Is Prohibited From Doing
From Securities Regulator-List Of Things Your StockBroker Is Prohibited From Doing 150 150 Robert Rex, Esq.

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well…

read more
  • Robert Rex, Esq.

Michael Guilfoyle-Former Legend Securities Broker-Discloses Settlement of Churning Complaint
Michael Guilfoyle-Former Legend Securities Broker-Discloses Settlement of Churning Complaint 150 150 Robert Rex, Esq.

New York UPDATE JUNE 2017–Michael Guilfoyle is not currently registered He left employment at Four Points Capital Partners in 3/2017. ORIGINAL POST 2/2017 Publicly available records of Michael N. Guilfoyle, (CRD#…

read more
  • Robert Rex, Esq.

Jason H. Klabal-Former Legend Securities Broker-Discloses Customer Disputes
Jason H. Klabal-Former Legend Securities Broker-Discloses Customer Disputes 150 150 Robert Rex, Esq.

January 2017- New York According to publicly available records Jason H. Klabal , (CRD# 2910714) ,  a  stockbroker who is currently employed by Alexander Capital,  disclose 2 currently pending customer disputes. The Financial Industry…

read more
  • Robert Rex, Esq.

Ty Bauer-Alexander Capital Broker-Discloses Customer Disputes-Oxford, MS
Ty Bauer-Alexander Capital Broker-Discloses Customer Disputes-Oxford, MS 150 150 Robert Rex, Esq.

January 2017- Oxford, MS According to publicly available records Ty Kevin Bauer , (CRD# 2150885) ,  a  stockbroker who is currently employed by Alexander Capital,  disclose 2 prior customer disputes. The Financial Industry Regulatory…

read more
Enter your
text here

You cannot copy content of this page