• Robert Rex, Esq.

Scott Shoup-Cetera Advisor Networks Broker-Discloses Customer Disputes-Sewickley, PA 
Scott Shoup-Cetera Advisor Networks Broker-Discloses Customer Disputes-Sewickley, PA  150 150 Robert Rex, Esq.

February 2024- Sewickley, PA According to publicly available records Scott Eugene Shoup (CRD#1874559) , a  stockbroker who is currently registered Cetera Advisor Networks,  disclose 1 pending and 4 final customer disputes.…

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Greg McKinney- Former Cetera Advisors Broker-Barred From Securities Industry by Regulators, Facing $1M Suit- Tulsa, OK
Greg McKinney- Former Cetera Advisors Broker-Barred From Securities Industry by Regulators, Facing $1M Suit- Tulsa, OK 150 150 ER

Greg McKinney Investigation July 2022-Tulsa, OK According to publicly available records James Gregory McKinney a former broker who last worked for Cetera Advisors,  discloses a final regulatory matter, a pending customer dispute, 7…

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  • Robert Rex, Esq.

Travis Hughes of Hughes Financial Group-Discloses Numerous Customer Suits-El Paso, TX
Travis Hughes of Hughes Financial Group-Discloses Numerous Customer Suits-El Paso, TX 150 150 Robert Rex, Esq.

  Link to March 2024 UPDATE January 2019-El Paso, Texas According to publicly available records   Travis Jerome Hughes , a  stockbroker who is currently registered with Cetera Advisors  disclose a currently pending customer…

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  • Robert Rex, Esq.

Mohamed Debbagh-Former Cetera Advisors Broker-Discloses Pending Customer Suit-Boca Raton, FL
Mohamed Debbagh-Former Cetera Advisors Broker-Discloses Pending Customer Suit-Boca Raton, FL 150 150 Robert Rex, Esq.

April 2018 -Boca Raton, FL According to FINRA records, Mohamed Debbagh,  a   stockbroker who was recently  employed by Cetera Advisors  , disclose  a pending dispute by a former customer. The Financial…

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  • Robert Rex, Esq.

James Franklin – Former Investors Capital Corp. Broker- Discloses Customer Dispute- Houston, TX
James Franklin – Former Investors Capital Corp. Broker- Discloses Customer Dispute- Houston, TX 150 150 Robert Rex, Esq.

June 2017 – Houston, TX According to publicly available records James A. Franklin  (CRD#4799613) ,  a  stockbroker who currently is employed by 1st Global Capital Corp. ,  discloses a pending customer dispute. The Financial…

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  • Robert Rex, Esq.

Frederick P. Baerenz-Kalos Capital Broker-Ordered to Pay Customer $331K-Great Falls, VA
Frederick P. Baerenz-Kalos Capital Broker-Ordered to Pay Customer $331K-Great Falls, VA 150 150 Robert Rex, Esq.

May 2017-Great Falls, VA The FINRA records of  Frederick P. Baerenz,  a  stockbroker who is currently  registered with Kalos Capital  disclose that a FINRA arbitration panel awarded damages to a customer Baerenz recently. The Financial Industry…

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  • Robert Rex, Esq.

Christopher R. Hickman-Former Cetera Advisors Broker-Discloses Settlement of Customer Disputes-Delray Beach, FL
Christopher R. Hickman-Former Cetera Advisors Broker-Discloses Settlement of Customer Disputes-Delray Beach, FL 150 150 Robert Rex, Esq.

June 2017-Delray Beach, FL The FINRA records of  Christopher R. Hickman ,  a  former stockbroker who was last employed as a broker by Cetera Advisors and who is not currently registered, disclose…

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  • Robert Rex, Esq.

Abraham Heimann-Former Cetera Advisors Broker-Discloses Customer Disputes Seeking $3M-Alpharetta, GA
Abraham Heimann-Former Cetera Advisors Broker-Discloses Customer Disputes Seeking $3M-Alpharetta, GA 150 150 Robert Rex, Esq.

May 2017-Alpharetta, GA According to publicly available records Abraham Heimann, (CRD#1315922) ,  a  stockbroker who is not currently registered with any brokerage firm discloses three currently pending customer disputes. The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Gerard Figari of Loyd Capital Performance Partners -Discloses Settlement of Customer Disputes-Stuart, FL
Gerard Figari of Loyd Capital Performance Partners -Discloses Settlement of Customer Disputes-Stuart, FL 150 150 Robert Rex, Esq.

April 2017- Stuart, FL According to publicly available records Gerard G. Figari, (CRD#1343962) ,  a  stockbroker who was previously registered with Investors Capital Corp. discloses 5 prior customer disputes. The Financial Industry Regulatory Authority (FINRA) is…

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