• Robert Rex, Esq.

Benjamin Bourgeois, Jr.-Former Commonwealth Financial Broker-Discloses Customer Disputes and a Termination-Metairie, LA
Benjamin Bourgeois, Jr.-Former Commonwealth Financial Broker-Discloses Customer Disputes and a Termination-Metairie, LA 150 150 Robert Rex, Esq.

November 2020- Metairie, LA According to publicly available records, former Commonwealth Financial Network,  financial advisor Benjamin Bourgeois, Jr.   is barred from FINRA and discloses 3 prior customer disputes, a pending…

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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.

Cullen Kempson-Former Commonwealth Financial Network Broker-Discloses Regulatory Event & Discharge From Employment-Sparta, NJ
Cullen Kempson-Former Commonwealth Financial Network Broker-Discloses Regulatory Event & Discharge From Employment-Sparta, NJ 150 150 Robert Rex, Esq.

May 2017- Sparta, NJ According to publicly available records V. Cullen Kempson III (CRD#1280887) ,  a  stockbroker currently registered with American Portfolios Financial Services, Inc discloses a prior regulatory event and a termination from employment. The…

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  • Robert Rex, Esq.

RIcky R. Moore-Sagepoint Financial Broker-Discloses Regulatory Suspension/Fine-Angleton, TX
RIcky R. Moore-Sagepoint Financial Broker-Discloses Regulatory Suspension/Fine-Angleton, TX 150 150 Robert Rex, Esq.

May 2017-Angleton, TX The FINRA records of RIcky R. Moore,  a  stockbroker who is employed by  Sagepoint Financial  disclose a final regulatory event, 3 prior customer disputes and a termination from employment. The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Jeffery A. Vaughn-Former Hornor, Townsend, Kent Broker-Named in FINRA Complaint
Jeffery A. Vaughn-Former Hornor, Townsend, Kent Broker-Named in FINRA Complaint 150 150 Robert Rex, Esq.

July 2016-Horsham, PA The FINRA records of Jeffery A. Vaughn  , a  currently unlicensed stockbroker who was  most recently employed by  Hornor, Townsend & Kent  , disclose a pending regulatory event, 2 prior regulatory events and…

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  • Robert Rex, Esq.

Ricky Moore-Sagepoint Financial Broker-Discloses Regulatory Matter- Angleton, Texas
Ricky Moore-Sagepoint Financial Broker-Discloses Regulatory Matter- Angleton, Texas 150 150 Robert Rex, Esq.

Angleton, TX December 31, 2015 The Financial Industry Regulatory Authority  (FINRA) filed a complaint against stockbroker Ricky Randon Moore, alleging that while working for Commonwealth Financial Network in Angleton, Texas,…

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