finra arbitration attorney Archives

Robert Rex, Esq.
June 22, 2016

Benjamin G. Aibel-Former Wunderlich Securities Broker-Discloses Customer Disputes

Benjamin G. Aibel-Former Wunderlich Securities Broker-Discloses Customer Disputes https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 22, 2016 June 22, 2016

New York According to FINRA records, Benjamin G. Aibel , a stockbroker who formerly worked for Wunderlich Securities , discloses two pending customer disputes and 4 prior customer disputes that are resolved. The Financial Industry Regulatory…

Robert Rex, Esq.
June 22, 2016

Matthew J. Streckenbach-Former Pruco Broker- Discloses Discharge from Employment

Matthew J. Streckenbach-Former Pruco Broker- Discloses Discharge from Employment https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 22, 2016 June 22, 2016

Green Bay, WI According to FINRA records, Matthew J. Streckenbach , a stockbroker who currently works for Packerland Brokerage Services , discloses a termination from employment. The Financial Industry Regulatory Authority (FINRA) is the agency that…

Robert Rex, Esq.
June 21, 2016

William D. Keltner-MWA Financial Services Broker-Discloses Customer Dispute

William D. Keltner-MWA Financial Services Broker-Discloses Customer Dispute https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 21, 2016 June 21, 2016

Jackson, TN According to FINRA records, William D. Keltner , a stockbroker who currently works for MWA Financial Services, discloses a recently resolved customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that…

Robert Rex, Esq.
June 20, 2016

John N. Crook-Former Raymond James Broker-Discloses $4.8 M Customer Suit-Macon, GA

John N. Crook-Former Raymond James Broker-Discloses $4.8 M Customer Suit-Macon, GA https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 20, 2016 June 20, 2016

September 2019-Macon, Georgia According to FINRA records, John Nelson Crook , a stockbroker who currently works for Prospera Financial Services , discloses a termination from employment, a currently pending customer dispute and a prior finalized…

Robert Rex, Esq.
June 20, 2016

Rhonda J. Matthews-Former Prospera Financial Broker-Discloses Suspension

Rhonda J. Matthews-Former Prospera Financial Broker-Discloses Suspension https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 20, 2016 June 20, 2016

Austin, Texas According to FINRA records, Rhonda Janeen Matthews (aka Rhonda Allen) , a former stockbroker who most recently worked for Prospera Financial Services , discloses a regulatory event, a termination and 2 outstanding…

Robert Rex, Esq.
June 20, 2016

John M. Gregory-Former Citigroup Broker-Discloses Termination from Employment

John M. Gregory-Former Citigroup Broker-Discloses Termination from Employment https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 20, 2016 June 20, 2016

White Plains, New York According to FINRA records, John M. Gregory , a stockbroker who currently works for Prospera Financial Services , discloses a termination from employment . The Financial Industry Regulatory Authority (FINRA) is…

Robert Rex, Esq.
June 17, 2016

Charles L. Evans-Former RBC Capital Broker-Discloses Termination and Regulatory Event

Charles L. Evans-Former RBC Capital Broker-Discloses Termination and Regulatory Event https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 17, 2016 June 17, 2016

Plano, Texas According to FINRA records, Charles L. Evans , a stockbroker who currently works for Prospera Financial Services , discloses a termination from employment and one final regulatory event. The Financial Industry Regulatory…

Robert Rex, Esq.
June 17, 2016

Clint Smith-Former Edward Jones Broker-Barred From Securities Industry-Beaumont, Texas

Clint Smith-Former Edward Jones Broker-Barred From Securities Industry-Beaumont, Texas https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 17, 2016 June 17, 2016

UPDATED JULY 2018 Lumberton/Beaumont , Texas According to FINRA records, Wesley “Clint” Smith , a stockbroker who formerly worked for Edward Jones discloses a pending customer dispute, 7 prior customer disputes and one final…

Robert Rex, Esq.
June 17, 2016

Miami Resident John Utsick Pleads Guilty In $200M Fraud Scheme

Miami Resident John Utsick Pleads Guilty In $200M Fraud Scheme https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 17, 2016 June 17, 2016

June 15, 2016-Miami, Florida The US Attorney’s Office for the Southern District of Florida announced that John Utsick, 75, of Miami Beach, FL, pled guilty for his role in a…

Robert Rex, Esq.
June 17, 2016

Carol Rushton-Former Regions Bank VP In Tyler, TX-Sentenced for Banking Violations

Carol Rushton-Former Regions Bank VP In Tyler, TX-Sentenced for Banking Violations https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 17, 2016 June 17, 2016

June 14, 2016- Tyler, Texas The US Attorney’s Office for the Eastern District of Texas announced the sentencing of Carol D. Rushton to 36 months of federal probation, a fine…

Featured Investigations