• Robert Rex, Esq.

Texas Securities Regulators Require Metals.Com to Refund $10M
Texas Securities Regulators Require Metals.Com to Refund $10M 150 150 Robert Rex, Esq.

July 2019-Austin, Texas The Texas State Securities Board (TSSB) issued a news release announcing that Metals.Com, has agreed to offer a full refund to some 84 Texas investors. According to…

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  • Robert Rex, Esq.

Jodie LaMarre- Former Robert W. Baird & Co. Broker- Discloses Regulatory Event & Two Settled Customer Disputes-Sarasota, FL
Jodie LaMarre- Former Robert W. Baird & Co. Broker- Discloses Regulatory Event & Two Settled Customer Disputes-Sarasota, FL 150 150 Robert Rex, Esq.

June 2019- Sarasota, FL According to publicly available records Jodie A. Lamarre (CRD#2127928) ,  a  stockbroker who is currently not registered  discloses a regulatory event and 2 settled customer disputes .…

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  • Robert Rex, Esq.

Kyusun Kim-Former Independent Financial Group Broker-Barred from FINRA-Discloses 19 Settled Customer Suits- Greenville, SC
Kyusun Kim-Former Independent Financial Group Broker-Barred from FINRA-Discloses 19 Settled Customer Suits- Greenville, SC 150 150 Robert Rex, Esq.

June 2019- Greenville, SC According to publicly available records, former Independent Financial and Sandlapper Securities  financial advisor Kyusun Kim,  discloses 19 settled and 4 pending customer disputes  and a termination…

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  • Robert Rex, Esq.

Dion Padilla Investigation-Former NEXT Financial Group Broker-Settles Several Customer Suits Involving Annuities-San Antonio, TX
Dion Padilla Investigation-Former NEXT Financial Group Broker-Settles Several Customer Suits Involving Annuities-San Antonio, TX 150 150 Robert Rex, Esq.

May 2019 -San Antonio, Texas According to publicly available records Dion Rey Padilla ,  a  stockbroker who formerly worked for NEXT Financial ,  disclose a prior regulatory suspension and five…

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  • Robert Rex, Esq.

Scott Klor-Former LPL Financial Advisor-Discloses Regulatory Suspension and Discharge from Employment-Baton Rouge, LA
Scott Klor-Former LPL Financial Advisor-Discloses Regulatory Suspension and Discharge from Employment-Baton Rouge, LA 150 150 Robert Rex, Esq.

May 2019 – Baton Rouge, LA According to publicly available records, former LPL Financial financial advisor Scott P. Klor discloses a recent regulatory event and a termination from employment. The…

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  • Robert Rex, Esq.

Losses on UBS Yield Enhancement Strategy? (UBS YES)- How to Recover Damages
Losses on UBS Yield Enhancement Strategy? (UBS YES)- How to Recover Damages 150 150 Robert Rex, Esq.

February 2020 Investors who have suffered losses as a result of investing in the UBS Yield Enhancement Strategy program (UBS YES Trading Program) may be able to recover damages through…

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  • Robert Rex, Esq.

Kelley Ranae Jones Sentenced to 3 Years for Embezzlement From Arrowhead Bank-Llano, Texas
Kelley Ranae Jones Sentenced to 3 Years for Embezzlement From Arrowhead Bank-Llano, Texas 150 150 Robert Rex, Esq.

April 2019- Llano, Texas The US Attorney’s Office for the Western District of Texas announced that 45 year old Kelley Ranae Jones was sentenced to three years in federal prison…

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  • Robert Rex, Esq.

Judith Johnston-Former NY Life Financial Advisor-Subject of Numerous Customer Complaints Over Annuities-Frisco, TX
Judith Johnston-Former NY Life Financial Advisor-Subject of Numerous Customer Complaints Over Annuities-Frisco, TX 150 150 Robert Rex, Esq.

March 2019- Frisco, Texas We are currently investigating former NY Life Securities  financial advisor Judith Adele Johnston . According to publicly available records , Judith Johnston ,  discloses a recent regulatory matter,…

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  • Robert Rex, Esq.

Ian Greenblatt-Capitol Securities Management Broker-Discloses Regulatory Suspension and Settlement of Customer Dispute-Melville, NY
Ian Greenblatt-Capitol Securities Management Broker-Discloses Regulatory Suspension and Settlement of Customer Dispute-Melville, NY 150 150 Robert Rex, Esq.

December 2018-Melville, New York According to publicly available records   Ian Greenblatt (aka Eric Green)  , a  stockbroker who is currently registered with Capitol Securities Management Inc.  disclose a recent regulatory suspension & fine…

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