• Robert Rex, Esq.

Ray G. Reese-Money Capital Concepts Broker-Discloses Customer Settlement Over Oil & Gas Investment-Farmington, MO
Ray G. Reese-Money Capital Concepts Broker-Discloses Customer Settlement Over Oil & Gas Investment-Farmington, MO 150 150 Robert Rex, Esq.

July 2020- Farmington, MO The FINRA records of Ray G. Reese  , a stock broker currently employed by Money Concepts Capital Corp , disclose  2 pending and  3 prior final customer disputes. The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Gary L. Glover-Former Ameriprise Broker-Disputes Customer Dispute Over Tenant in Common Investment
Gary L. Glover-Former Ameriprise Broker-Disputes Customer Dispute Over Tenant in Common Investment 150 150 Robert Rex, Esq.

July 2016- John Creek, Georgia The FINRA records of Gary L. Glover  , a stock broker currently employed by Concorde Investment Services, disclose  a prior final customer dispute,  2 pending customer disputes, a prior final financial event…

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  • Robert Rex, Esq.

Barry W. Lemay-Former VSR Financial Broker-Discloses Customer Dispute Over Alternative Investments
Barry W. Lemay-Former VSR Financial Broker-Discloses Customer Dispute Over Alternative Investments 150 150 Robert Rex, Esq.

Campbell, CA According to FINRA records,  Barry W. Lemay ,  a stockbroker  who  formerly worked for VSR Financial Services discloses  9 final customer disputes and  one pending customer dispute. The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Matthew T. Flynn-L.M. Kohn Broker-Discloses Customer Dispute Over REIT Investment
Matthew T. Flynn-L.M. Kohn Broker-Discloses Customer Dispute Over REIT Investment 150 150 Robert Rex, Esq.

July 2016- Troy, Michigan The FINRA records of Matthew T. Flynn  , a stock broker employed by L.M. Kohn & Company, disclose  a pending customer arbitration, a prior final financial disclosure and a prior termination. The…

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  • Robert Rex, Esq.

Garden State Securities Order to Pay Damages for Investment Losses
Garden State Securities Order to Pay Damages for Investment Losses 150 150 Robert Rex, Esq.

July 5, 2016-New York A Financial Industry Regulatory Authority (FINRA)  arbitration panel ordered Garden State Securities, based in Red Bank, New Jersey, to pay an elderly customer over $142,000 to…

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  • Robert Rex, Esq.

Philip Brisard-Former Ridgeway & Conger Broker-Discloses Pending Regulatory Matter and Termination from Employment
Philip Brisard-Former Ridgeway & Conger Broker-Discloses Pending Regulatory Matter and Termination from Employment 150 150 Robert Rex, Esq.

Jericho, New York According to FINRA records,  Philip Brisard ,   a stockbroker who formerly worked for  Ridgeway & Conger   discloses a pending regulatory matter, 4 final customer disputes and a termination from employment. The Financial Industry…

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  • Robert Rex, Esq.

Mark A. Stanczyk-Former Pinnacle Investments Broker-Discloses Customer Dispute
Mark A. Stanczyk-Former Pinnacle Investments Broker-Discloses Customer Dispute 150 150 Robert Rex, Esq.

Manilus, New York According to FINRA records,  Mark A. Stanczyk ,   a stockbroker who currently works for  Leigh Baldwin & Co.   discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that…

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  • Robert Rex, Esq.

Michael A. Castillero-Former Alexander Capital Broker-Discloses Multiple Customer Disputes & Bar From Securities Industry
Michael A. Castillero-Former Alexander Capital Broker-Discloses Multiple Customer Disputes & Bar From Securities Industry 150 150 Robert Rex, Esq.

New York APRIL 2019 UPDATE- Michael A. Castillero left Alexander Capital in 6/2017 and worked for Windsor Street Capital from 6/2017-10/2017. In 2/2019 he was permanently barred from the securities…

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  • Robert Rex, Esq.

Eric W. Harding-Former Wells Fargo Broker-Discloses Terminations-Scottsdale, AZ
Eric W. Harding-Former Wells Fargo Broker-Discloses Terminations-Scottsdale, AZ 150 150 Robert Rex, Esq.

UPDATE APRIL 2017–United Planners Financial Services of America discloses that Eric W. Harding was discharged 10/2016 for “Failure to follow firm procedures and repay amounts owed to the firm.” ORIGINAL…

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  • Robert Rex, Esq.

Marvin T. Petty-United Planners Broker-Discloses Customer Dispute
Marvin T. Petty-United Planners Broker-Discloses Customer Dispute 150 150 Robert Rex, Esq.

Fort Worth, Texas According to FINRA records,  Marvin T. Petty, Jr. ,  a stockbroker  who works for United Planners Financial Services ,  discloses  a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that…

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