• ER

John Westbrook – Former Center Street Securities Broker- Discloses Regulatory Event, Customer Dispute and a Termination- Jackson Gap, AL
John Westbrook – Former Center Street Securities Broker- Discloses Regulatory Event, Customer Dispute and a Termination- Jackson Gap, AL 150 150 ER

September 2021- Jackson Gap, AL According to publicly available records John Westbrook,  a currently unregistered broker who previously was employed by Center Street Securities,  discloses a regulatory event, a pending…

read more
  • Robert Rex, Esq.

Arizona Financial Planners-Sanctioned by Certified Financial Planning Board-September 2021 Update
Arizona Financial Planners-Sanctioned by Certified Financial Planning Board-September 2021 Update 150 150 Robert Rex, Esq.

UPDATED SEPTEMBER 2021 According to their website, the “Certified Financial Planner (CFP) Board is a non-profit organization acting in the public interest by fostering professional standards in personal financial planning through its setting and enforcement of…

read more
  • Robert Rex, Esq.

New Mexico Financial Planners-Sanctioned by Certified Financial Planning Board-September 2021 Update
New Mexico Financial Planners-Sanctioned by Certified Financial Planning Board-September 2021 Update 150 150 Robert Rex, Esq.

UPDATED SEPTEMBER 2021 According to their website, the “Certified Financial Planner (CFP) Board is a non-profit organization acting in the public interest by fostering professional standards in personal financial planning through its setting and enforcement of…

read more
  • Robert Rex, Esq.

New Jersey Certified Financial Planners Disciplined by CFP Board-SEPTEMBER 2021 UPDATE
New Jersey Certified Financial Planners Disciplined by CFP Board-SEPTEMBER 2021 UPDATE 150 150 Robert Rex, Esq.
According to their website, the “Certified Financial Planner (CFP) Board is a non-profit organization acting in the public interest by fostering professional standards in personal financial planning through its setting and enforcement of the education, examination, experience, ethics and other requirementments for CFP. “ The CFP Board can discipline those holding the CFP title in one of three ways: Public Letter of Admonition Temporary Suspension of CFP certification Revocation of individual’s CFP certification The list below, taken from the CFP board disciplinary page of their website, is a historical record of individuals from New Jersey who have been disciplined by CFP Board and does not imply that any listed discipline is currently in force. To verify an individual’s current certification status visit the CFP website here. Revocations Stuart Albert (Marlton) Michael R. read more
  • Robert Rex, Esq.

MAINE CERTIFIED FINANCIAL PLANNERS DISCIPLINED BY CFP BOARD- September 2021 update
MAINE CERTIFIED FINANCIAL PLANNERS DISCIPLINED BY CFP BOARD- September 2021 update 150 150 Robert Rex, Esq.

According to their website, the “Certified Financial Planner (CFP) Board is a non-profit organization acting in the public interest by fostering professional standards in personal financial planning through its setting and enforcement of…

read more
  • Robert Rex, Esq.

New York Certified Financial Planners Disciplined by CFP Board- SEPTEMBER 2021 Update
New York Certified Financial Planners Disciplined by CFP Board- SEPTEMBER 2021 Update 150 150 Robert Rex, Esq.

UPDATED September 2021 According to their website, the “Certified Financial Planner (CFP) Board is a non-profit organization acting in the public interest by fostering professional standards in personal financial planning through its setting…

read more
  • Robert Rex, Esq.

South Carolina Certified Financial Planners Disciplined by CFP Board- SEPTEMBER 2021 Update
South Carolina Certified Financial Planners Disciplined by CFP Board- SEPTEMBER 2021 Update 150 150 Robert Rex, Esq.

UPDATED SEPTEMBER 2021 According to their website, the “Certified Financial Planner (CFP) Board is a non-profit organization acting in the public interest by fostering professional standards in personal financial planning through its setting…

read more
  • Robert Rex, Esq.

North Carolina Certified Financial Planners Disciplined by CFP Board- SEPTEMBER 2021 Update
North Carolina Certified Financial Planners Disciplined by CFP Board- SEPTEMBER 2021 Update 150 150 Robert Rex, Esq.

UPDATED SEPTEMBER 2021 According to their website, the “Certified Financial Planner (CFP) Board is a non-profit organization acting in the public interest by fostering professional standards in personal financial planning through its setting…

read more
  • Robert Rex, Esq.

Losses on Lightstone Value Plus Real Estate Investment Trust III ? Investment Loss Recovery Lawyer
Losses on Lightstone Value Plus Real Estate Investment Trust III ? Investment Loss Recovery Lawyer 150 150 Robert Rex, Esq.

August 2021 Did you invest in Lightstone Value Plus REIT III ? Did you Suffer Losses? Lightstone Value Plus REIT III was sold to investors with the promise of a…

read more
  • Robert Rex, Esq.

Stefan Pastor-Former Raymond James Broker-Barred From Securities Industry-Ft. Lauderdale, FL
Stefan Pastor-Former Raymond James Broker-Barred From Securities Industry-Ft. Lauderdale, FL 150 150 Robert Rex, Esq.

October 2020- Hollywood, FL According to publicly available records.  Stefan Anton Pastor, (CRD#5141819), a  former stockbroker who last worked for Raymond James Financial Services, Inc.,  discloses a regulatory event, 2…

read more
Enter your
text here

You cannot copy content of this page