• Robert Rex, Esq.

Stanley Niekras-Former Purshe Kaplan Broker-Charged in Regulatory Complaint Alleging Financial Abuse of Elderly
Stanley Niekras-Former Purshe Kaplan Broker-Charged in Regulatory Complaint Alleging Financial Abuse of Elderly 150 150 Robert Rex, Esq.

November 2016-Watertown, New York The FINRA records of  Stanley C. Niekras,  a  stockbroker who was formerly  employed by  Purshe Kaplan Sterling Investments disclose 7 prior customer disputes that have been resolved and a currently pending regulatory…

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  • Robert Rex, Esq.

Anthony Mazzo-Former UBS Financial Broker-Discloses Customer Dispute
Anthony Mazzo-Former UBS Financial Broker-Discloses Customer Dispute 150 150 Robert Rex, Esq.

November 2016-Palm Beach, Florida The FINRA records of  Anthony J. Mazzo,  a  stockbroker who is currently  employed by  BB&T Securities disclose 4 prior customer disputes that have been resolved, a currently pending customer dispute and…

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  • Robert Rex, Esq.

Ronald Kudlacek-VSR Financial Services Broker-Discloses Settlement of Customer Dispute Involving Annuity
Ronald Kudlacek-VSR Financial Services Broker-Discloses Settlement of Customer Dispute Involving Annuity 150 150 Robert Rex, Esq.

The FINRA records of  Ronald J. Kudlacek,  a  stockbroker who is currently  employed by  VSR Financial Services & Summit Brokerage Services disclose a prior customer dispute that has been resolved. The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

VSR Financial-Overland Park, KS, Brokerage Firm- Shutting Down Operations
VSR Financial-Overland Park, KS, Brokerage Firm- Shutting Down Operations 150 150 Robert Rex, Esq.

November 3, 2016-Overland Park, KS The Kansas City Star reports that VSR Financial, which has been in business since 1984, it shutting down and moving its brokers and customers to…

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  • Robert Rex, Esq.

Christopher Anthony-Former Rhodes Securities Broker-Discloses Customer Dispute and Discharge from Employment-Arlington, TX
Christopher Anthony-Former Rhodes Securities Broker-Discloses Customer Dispute and Discharge from Employment-Arlington, TX 150 150 Robert Rex, Esq.

Arlington, Texas MAY 2017 UPDATE-In January 2017 a customer of Rhodes Securities filed FINRA Case #16-03753 alleging damages of $2 million for breach of fiduciary duty, negligence and breach of…

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  • Robert Rex, Esq.

Rick Davidson-Former Morgan Stanley Broker-Discloses Settlement of Customer Suits
Rick Davidson-Former Morgan Stanley Broker-Discloses Settlement of Customer Suits 150 150 Robert Rex, Esq.

SEPTEMBER 2018 The FINRA records of  Rick A. Davidson,  a  stockbroker who is currently employed by  National Securities Corporation  disclose 5 prior customer disputes that that are final  and a separation from employment after allegations. The…

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  • Robert Rex, Esq.

Billy Fox-First Allied Securities Broker-Discloses Pending Customer Dispute-Austin, TX
Billy Fox-First Allied Securities Broker-Discloses Pending Customer Dispute-Austin, TX 150 150 Robert Rex, Esq.

February 2020-Austin, Texas The FINRA records of  William F.  “Billy” Fox,  a  stockbroker who is currently employed by  First Allied Securities  disclose 2 prior customer disputes that are final and one currently pending…

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  • Robert Rex, Esq.

Barry M. Kiront-Craft Capital Management Broker Discloses 10 Customer Disputes-Garden City, NY
Barry M. Kiront-Craft Capital Management Broker Discloses 10 Customer Disputes-Garden City, NY 150 150 Robert Rex, Esq.

APRIL 2018 UPDATE–Barry Kiron’ts FINRA record currently discloses 13 prior customer disputes. October 2016-Garden City, NY The FINRA records of  Barry M. Kiront,  a  stockbroker who is currently employed by  Craft Capital Management  disclose 10 prior…

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  • Robert Rex, Esq.

Mickey Long-VSR Financial Broker- Sanctioned by Texas State Securities Board-Plano, TX
Mickey Long-VSR Financial Broker- Sanctioned by Texas State Securities Board-Plano, TX 150 150 Robert Rex, Esq.

October 2016-Plano, Texas The Texas State Securities Board (TSSB) entered a Disciplinary Order against M. F. (Mickey) Long II who operates First Financial Services Group in Plano, TX, and stock brokerage…

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