• Robert Rex, Esq.

Ronald A. Frumkes-Former Wunderlich Securities Broker-Discloses Settlement of Customer Suits
Ronald A. Frumkes-Former Wunderlich Securities Broker-Discloses Settlement of Customer Suits 150 150 Robert Rex, Esq.

April 2019- New York According to FINRA records,  Ronald A. Frumkes,  a stockbroker  who is not currently registered with any firm and  who last worked  for Wunderlich Securities ,  discloses  three prior…

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  • Robert Rex, Esq.

Investors Capital Corp. Discloses 22 Regulatory Issues-Withdraws FINRA Registration
Investors Capital Corp. Discloses 22 Regulatory Issues-Withdraws FINRA Registration 150 150 Robert Rex, Esq.

UPDATE APRIL 2018-In December 2017, Investors Capital Corp. was hit with another FINRA regulatory sanction involving mutual funds. The firm was censured and agreed to pay $437,674 in restitution to…

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  • Robert Rex, Esq.

David L. Hannett Sr.-Invest Financial Broker-Discloses $5M Customer Dispute
David L. Hannett Sr.-Invest Financial Broker-Discloses $5M Customer Dispute 150 150 Robert Rex, Esq.

Vienna, VA According to FINRA records,  David L. Hannett, Sr. ,  a stockbroker  who works  for Invest Financial Corp. discloses  a pending customer dispute . The Financial Industry Regulatory Authority (FINRA) is the agency that licenses…

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  • Robert Rex, Esq.

Jack G. Merritt-Crown Capital Broker-Discloses Customer Dispute Over Oil & Gas Investments
Jack G. Merritt-Crown Capital Broker-Discloses Customer Dispute Over Oil & Gas Investments 150 150 Robert Rex, Esq.

August 2019-Huntington Beach, CA According to FINRA records,  Jack G. Merritt ,  a stockbroker  who works  for Crown Capital Securities  discloses  the settlement of a  customer dispute . The Financial Industry Regulatory Authority (FINRA) is…

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  • Robert Rex, Esq.

Legend Securities Loses Arbitration Hearing Brought by Former Customer
Legend Securities Loses Arbitration Hearing Brought by Former Customer 150 150 Robert Rex, Esq.

Tampa, Florida A Financial Industry Regulatory Authority (FINRA) arbitration panel awarded damages of over $150,000 to two former customers of Legend Securities, Inc. who brought the action for losses suffered…

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  • Robert Rex, Esq.

Larry S. Werbel Discloses Customer Dispute Over Investment in VGTL and QLTS
Larry S. Werbel Discloses Customer Dispute Over Investment in VGTL and QLTS 150 150 Robert Rex, Esq.

UPDATE August 2016-Disclosure that another customer dispute has been filed. In July 2016 a customer of LPL Financial alleged damages of $19,995 for unsuitable penny stock trading and failure to…

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  • Robert Rex, Esq.

VSR Financial Services-How to Recover Damages On Investment Losses
VSR Financial Services-How to Recover Damages On Investment Losses 150 150 Robert Rex, Esq.

FEBRUARY 2017 UPDATE–VSR Financial has closed operations. Many of its brokers and clients have been transferred to Summit Brokerage Services, a related entity. See below for discussion of VSR’s regulatory…

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  • Robert Rex, Esq.

Richard M. Ohlhaber-Former Southwest Securities Broker-Discloses Pending Customer Disputes/Regulatory Actions-Grapevine, TX
Richard M. Ohlhaber-Former Southwest Securities Broker-Discloses Pending Customer Disputes/Regulatory Actions-Grapevine, TX 150 150 Robert Rex, Esq.

June 2016-Grapevine, Texas According to FINRA records,  Richard M. Ohlhaber ,   a stockbroker  who most recently was  employed by FSC Securities Corp., Inc. , discloses two pending customer disputes. He also discloses  3 prior final regulatory events…

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  • Robert Rex, Esq.

Sean W. Mollard-Former Dawson James Broker-Discloses $1M Customer Dispute
Sean W. Mollard-Former Dawson James Broker-Discloses $1M Customer Dispute 150 150 Robert Rex, Esq.

Boca Raton, Florida UPDATE APRIL 2017-FINRA records indicate that FINRA arbitration 16-0849, described below, was settled in February 2017 for $295,000. ORIGINAL POST JUNE 2016 According to FINRA records,  Sean W.…

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