• Robert Rex, Esq.

Walt Parker-Former Titan Securities Broker-Subject of Numerous UDF Suits & Regulatory Suspension – Rowlett , Texas
Walt Parker-Former Titan Securities Broker-Subject of Numerous UDF Suits & Regulatory Suspension – Rowlett , Texas 150 150 Robert Rex, Esq.

January 2020-Rowlett, Texas The FINRA records of  Walter (Walt) Parker ,  a  currently unregistered  broker who was last employed by  Titan Securities  disclose a recent regulatory matter,  2 pending customer disputes  and 11 prior…

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  • Robert Rex, Esq.

Redemption Programs Suspended On Your REIT and LP Investments?
Redemption Programs Suspended On Your REIT and LP Investments? 150 150 Robert Rex, Esq.

If you have tried to redeem investments you made in real estate investment trusts (REITs) or limited partnerships (LPs) recently you may have received the bad news that the redemption…

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  • Robert Rex, Esq.

Melvin Case-Former LPL Financial Broker-Discharged for Failing to Report Pleading Guilty to Exploitation of Aged Adult-Jacksonville, FL
Melvin Case-Former LPL Financial Broker-Discharged for Failing to Report Pleading Guilty to Exploitation of Aged Adult-Jacksonville, FL 150 150 Robert Rex, Esq.

February 2018-Jacksonville, FL According to publicly available records Melvin E. Case  , (CRD# 2393464) ,  a   former stockbroker who last worked for LPL Financial LLC,  discloses that he was recently sanctioned by securities regulators…

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  • Robert Rex, Esq.

George Oldoerp Investigation-Former H. Beck Broker-Corona, CA
George Oldoerp Investigation-Former H. Beck Broker-Corona, CA 150 150 Robert Rex, Esq.

December 2017-San Antonio, Texas – Corona, California We are investigating former H. Beck , Inc. stockbroker George J. Oldoerp in connection with a FINRA arbitration which we have filed on…

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  • Robert Rex, Esq.

James V. Marino-Former Edward Jones Broker- Faces Allegations of Theft from Customer-Pompano Beach, FL
James V. Marino-Former Edward Jones Broker- Faces Allegations of Theft from Customer-Pompano Beach, FL 150 150 Robert Rex, Esq.

OCTOBER 2017 James V. Marino , a former stockbroker in Pompano Beach, FL, who was last employed by Edward Jones ,  was recently barred permanently from the securities industry by FINRA. …

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  • Robert Rex, Esq.

William J. Paynter, Jr.-Wells Fargo Broker Discloses Multiple Customer Complaints-Scottsdale, AZ
William J. Paynter, Jr.-Wells Fargo Broker Discloses Multiple Customer Complaints-Scottsdale, AZ 150 150 Robert Rex, Esq.

December 2018-Scottsdale, AZ William J. (“Bill John”) Paynter, Jr., (CRD#2835535) ,  a  stockbroker who is currently employed by Wells Fargo is the subject of a  currently pending customer dispute. He discloses the settlement…

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  • Robert Rex, Esq.

Study by Regulators Confirms That Elderly Are Most Vulnerable to Financial Abuse/Fraud
Study by Regulators Confirms That Elderly Are Most Vulnerable to Financial Abuse/Fraud 150 150 Robert Rex, Esq.

August 2017 The North American Securities Administrators Association (NASAA) recently released a study showing that financial fraud on the elderly has increased, despite increased awareness and regulatory attempts to protect…

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  • Robert Rex, Esq.

Wedbush Securities Ordered to Pay Customer $1.8M For Elder Abuse-Los Angeles, CA
Wedbush Securities Ordered to Pay Customer $1.8M For Elder Abuse-Los Angeles, CA 150 150 Robert Rex, Esq.

Los Angeles, CA-July 2017 A Financial Industry Regulatory Authority (FINRA) arbitration panel comprised of three public arbitrators ordered Wedbush Securities to pay two former customers (husband and wife) compensatory damages…

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