• Robert Rex, Esq.

Tye Williams-Former NEXT Financial Broker- Barred From Securities Industry-Frisco, TX
Tye Williams-Former NEXT Financial Broker- Barred From Securities Industry-Frisco, TX 150 150 Robert Rex, Esq.

September 2016-Frisco, Texas Tye Williams, a stockbroker who formerly worked for NEXT Financial Group was barred by the Financial Industry Regulatory Authority (FINRA) from acting as a broker or otherwise…

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  • 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.

NEXT Financial Group Settles Tenant in Common Case
NEXT Financial Group Settles Tenant in Common Case 150 150 Robert Rex, Esq.

October 2016 Next Financial Group, Inc. , a stock brokerage firm headquartered in Houston, Texas, recently settled a claim brought by a customer alleging damages of $4,000,000 for breach of…

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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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