William Blair & Company

  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates William Blair & Company L.L.C. Broker Robert J. Rumley III
Rex Securities Law Investment Fraud Attorney Investigates William Blair & Company L.L.C. Broker Robert J. Rumley III 150 150 Robert Rex, Esq.

Last Updated: August 2025 — Atlanta, Georgia Here’s what you need to know about Atlanta, GA, stockbroker Robert J. Rumley III: Name: Robert J. Rumley III CRD Number: 4474706 Current Employer: William Blair…

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  • Robert Rex, Esq.

William Blair and Company to Pay $4.5 Million Fine to Regulator
William Blair and Company to Pay $4.5 Million Fine to Regulator 150 150 Robert Rex, Esq.

MAY 2017 According to the U.S. Securities and Exchange Commission, Chicago based brokerage firm William Blair and Company will pay $4.5 million to settle charges that mutual fund assets were…

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  • Robert Rex, Esq.

William Blair & Company Fined $350,000 Over Failure to Disclose Conflict of Interest
William Blair & Company Fined $350,000 Over Failure to Disclose Conflict of Interest 150 150 Robert Rex, Esq.

August 17, 2015, William Blair & Company,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from January 2010…

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