• Robert Rex, Esq.

Lance R. Armstrong- Former Raymond James Broker- Discloses Regulatory Events Resulting in Bar from Industry and Termination of Employment- Columbia, NJ
Lance R. Armstrong- Former Raymond James Broker- Discloses Regulatory Events Resulting in Bar from Industry and Termination of Employment- Columbia, NJ 150 150 Robert Rex, Esq.

Lance R. Armstrong Investigation December 2021 – Lafayette, NJ The FINRA records of Lance Roman Armstrong  , a former stockbroker who was last employed by Raymond James Financial Services, Inc. , disclose   regulatory events…

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  • Robert Rex, Esq.

Joseph Roop-Former Kalos Capital Broker-Discloses 11 Prior Customer Disputes -Belmont, NC
Joseph Roop-Former Kalos Capital Broker-Discloses 11 Prior Customer Disputes -Belmont, NC 150 150 Robert Rex, Esq.

Joseph Roop Investigation December 2021- 2020 – Belmont, NC The FINRA records of Joseph Patrick Roop,  a currently unregistered broker who was last employed by Dempsey Lord Smith and Kalos Capital,  disclose…

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  • Robert Rex, Esq.

Sanders Spangler Investigation-Former LPL Financial Broker-Barred From Securities Industry & Settles Customer Suits-San Antonio, TX
Sanders Spangler Investigation-Former LPL Financial Broker-Barred From Securities Industry & Settles Customer Suits-San Antonio, TX 150 150 Robert Rex, Esq.

Sanders Spangler Investigation November 2021-San Antonio, Texas The FINRA records of  Sanders L. Spangler ,   a  former stockbroker who was once employed by  LPL Financial  disclose a regulatory matter, 6 prior customer disputes…

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  • Robert Rex, Esq.

Attention GPB Capital Investors-How to Recover Your Losses
Attention GPB Capital Investors-How to Recover Your Losses 150 150 Robert Rex, Esq.

How to Recover Losses on GPB Funds November 2021 GPB Alleged to be a Ponzi-Like Scheme GPB raised over $1.8 billion in high risk private placements that were sold to…

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David Michael Becker- Former Cetera Broker- Discloses Pending Customer Dispute -Waterloo, IA
David Michael Becker- Former Cetera Broker- Discloses Pending Customer Dispute -Waterloo, IA 150 150 ER

David M. Becker Investigation November  2021-Waterloo, IA According to publicly available records, David Michael Becker, a former Cetera Advisors broker discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is…

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Rhett Bedwell- Former LPL Financial Broker-Alleged Forgery Leads to Bar From Industry-Rogers, AR
Rhett Bedwell- Former LPL Financial Broker-Alleged Forgery Leads to Bar From Industry-Rogers, AR 150 150 ER

Rhett Bedwell Investigation November 2021- Rogers, AR  The FINRA records of  Rhett Bedwell ,  a  former financial advisor who was last employed by  LPL Financial disclose a regulatory event and three…

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Andrew “Andy” Durham- Former Allstate Financial Services Broker- Suspended by Regulator -Greenwood, SC
Andrew “Andy” Durham- Former Allstate Financial Services Broker- Suspended by Regulator -Greenwood, SC 150 150 ER

Andrew “Andy” Durham Investigation November  2021-Greenwood, SC According to publicly available records. Andy T. Durham , a stockbroker formerly employed by Allstate Financial Services  discloses a regulatory suspension. The Financial Industry…

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  • Robert Rex, Esq.

Hancock Whitney Investment Services- Fined $2.4M – Regulator Alleges Conflict of Interest
Hancock Whitney Investment Services- Fined $2.4M – Regulator Alleges Conflict of Interest 150 150 Robert Rex, Esq.

Hancock Whitney Investment Services Investigation November 2021 Hancock Whitney Investment Services was fined and ordered to pay disgorgement and restitution over $2.4 million dollars by regulators for conflicts of interest related…

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  • Robert Rex, Esq.

Megurditch “Mike” Patatian -Former Western International Securities Broker- Allegedly Sold $7.8M of Unsuitable REITs- Westlake Village, CA
Megurditch “Mike” Patatian -Former Western International Securities Broker- Allegedly Sold $7.8M of Unsuitable REITs- Westlake Village, CA 150 150 Robert Rex, Esq.

Megurditch “Mike” Patatian Investigation November 2021- Westlake Village, CA According to publicly available records,  Mike Patatian a former broker who was last employed by Western International Securities, Inc. discloses a pending…

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