avoid investment scams

  • Robert Rex, Esq.

Kansas Certified Financial Planners Disciplined by CFP Board-SEPTEMBER 2021 UPDATE
Kansas 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…

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  • 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…

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  • 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…

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  • Robert Rex, Esq.

Gerald Eaton-Former Commonwealth Broker Barred from FINRA-Terminated After Allegations of Forgery-Waltham, MA
Gerald Eaton-Former Commonwealth Broker Barred from FINRA-Terminated After Allegations of Forgery-Waltham, MA 150 150 Robert Rex, Esq.

June 2020- Waltham, MA The FINRA records of Gerald Allan Eaton  , a former stock broker who was last employed  by  Commonwealth Financial Network , disclose a regulatory event resulting in his bar from the securities…

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  • Robert Rex, Esq.

Jovannie Aquino-Former Spartan Capital Securities Broker- Is Barred and Discloses Regulatory Events, Customer Disputes and a Termination-New York, NY
Jovannie Aquino-Former Spartan Capital Securities Broker- Is Barred and Discloses Regulatory Events, Customer Disputes and a Termination-New York, NY 150 150 Robert Rex, Esq.

June 2020- New York, NY According to publicly available records Jovannie Aquino (CRD#4876661), a  former stockbroker who last worked for Spartan Capital Securities,  discloses a regulatory event, a civil event,…

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  • Robert Rex, Esq.

Clayton Wertz-Former First Financial Equity Broker-Barred from Securities Industry-Dallas, TX
Clayton Wertz-Former First Financial Equity Broker-Barred from Securities Industry-Dallas, TX 150 150 Robert Rex, Esq.

April 2020-Dallas, TX The FINRA records of Clayton H. Wertz, a broker last employed  in the securities industry by First Canterbury Securities, Inc., disclose  a regulatory event resulting in his bar…

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  • Robert Rex, Esq.

Wells Fargo Advisors Fined by Regulator for Account Churning
Wells Fargo Advisors Fined by Regulator for Account Churning 150 150 Robert Rex, Esq.

January 2020 The Financial Industry Regulatory Authority (FINRA) assessed a fine of $175,000 and censured Wells Fargo Advisors for failing to supervise their financial advisor who churned the account of…

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  • Robert Rex, Esq.

Wesley S. Wallace- Former Worden Capital Broker- Discloses 2 Prior Customer Disputes- Garden City, NY
Wesley S. Wallace- Former Worden Capital Broker- Discloses 2 Prior Customer Disputes- Garden City, NY 150 150 Robert Rex, Esq.

January 2020 -Garden City, NY The FINRA records of Wesley S. Wallace  , a stockbroker who was last employed by  Worden Capital Management , disclose 2  prior customer disputes. The Financial Industry Regulatory Authority (FINRA) is…

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  • Robert Rex, Esq.

Corey L. Mireau-Former Ameriprise Financial Services Broker-Discloses Regulatory Event & Settled Customer Dispute-Eden Prairie, MN
Corey L. Mireau-Former Ameriprise Financial Services Broker-Discloses Regulatory Event & Settled Customer Dispute-Eden Prairie, MN 150 150 Robert Rex, Esq.

January 2020 – Eden Prairie, MN The FINRA records of Corey Lee Mireau, a stockbroker who is currently  not registered with any broker dealer, disclose a regulatory event, 2  settled  customer disputes, …

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