• Robert Rex, Esq.

Kelvin Ramirez–Pleads Guilty to Wire Fraud-Houston, TX
Kelvin Ramirez–Pleads Guilty to Wire Fraud-Houston, TX 150 150 Robert Rex, Esq.

August 2021 – Houston, Texas According to a press release  from the Department of Justice, Houston resident Kelvin Ramirez, age 25, has pleaded guilty to defrauding investors by promising high rates of…

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  • Robert Rex, Esq.

David A Lavine-Former UBS Broker- Discloses Customer Dispute-Houston
David A Lavine-Former UBS Broker- Discloses Customer Dispute-Houston 150 150 Robert Rex, Esq.

August 2021  According to publicly available records David Alan Levine (CRD#4895654) ,  a  former stockbroker  who last worked for UBS Financial discloses 2 prior regulatory events, 2 prior customer disputes, a…

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Michael Norton-David Lerner Broker-Sued Over Energy 11 Investment- Syosset, NY
Michael Norton-David Lerner Broker-Sued Over Energy 11 Investment- Syosset, NY 150 150 ER

August 2021- Syosset, NY According to publicly available records,  Michael Norton, a broker currently employed by  David Lerner Associates, Inc.,   discloses 3 settled customer disputes and 1 pending customer dispute.…

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Clyde Jensen -Former TD Private Client Wealth Broker-Discloses Pending Regulatory Event- Tampa, FL
Clyde Jensen -Former TD Private Client Wealth Broker-Discloses Pending Regulatory Event- Tampa, FL 150 150 ER

August 2021 – Tampa, FL  According to publicly available records , Clyde Anthony Jensen, a former broker  with TD Private Client Wealth and Ameriprise disclose a pending regulatory event involving being named as…

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Todd Phillips -Former Moloney Securities Broker-Suspended by FINRA-Gilbert, AZ
Todd Phillips -Former Moloney Securities Broker-Suspended by FINRA-Gilbert, AZ 150 150 ER

August  2021 – Gilbert, AZ According to publicly attained records, David “Todd” Phillips, a stockbroker who is not currently registered  and who was last employed by Moloney Securities, Co., Inc. ,…

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  • Robert Rex, Esq.

Jason Dworak – UBS Broker-Discloses $1M Award to Customer Over UBS YES Program- Lincoln, NE
Jason Dworak – UBS Broker-Discloses $1M Award to Customer Over UBS YES Program- Lincoln, NE 150 150 Robert Rex, Esq.

August 2021 – Lincoln, NE  According to publicly available records of Jason M. Dworak  ,  a broker  employed with UBS Financial in Lincoln, NE,  discloses  a million dollar award to a…

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  • Robert Rex, Esq.

Matthew Lasko – UBS Broker-Subject of $500K Customer Suit- Dallas, TX
Matthew Lasko – UBS Broker-Subject of $500K Customer Suit- Dallas, TX 150 150 Robert Rex, Esq.

August 2021 – Dallas, TX  According to publicly available records of Matthew E. Lasko  ,  a broker  employed with UBS Financial in Dallas,  discloses  a pending customer dispute. The Financial…

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  • Robert Rex, Esq.

Losses on Lightstone Value Plus Real Estate Investment Trust III ? Investment Loss Recovery Lawyer
Losses on Lightstone Value Plus Real Estate Investment Trust III ? Investment Loss Recovery Lawyer 150 150 Robert Rex, Esq.

August 2021 Did you invest in Lightstone Value Plus REIT III ? Did you Suffer Losses? Lightstone Value Plus REIT III was sold to investors with the promise of a…

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Roland Gerbauld- Former Bolton Global Capital Broker- Permanently Barred from FINRA- Miami, FL
Roland Gerbauld- Former Bolton Global Capital Broker- Permanently Barred from FINRA- Miami, FL 150 150 ER

August 2021- Miami, FL/Rio de Janeiro, Brazil  According to publicly available records,  Roland Gerbauld a broker previously employed with Bolton Global Capital. discloses a prior regulatory event and a pending regulatory…

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Brett Briggs-Western International Securities Broker- Permanently Barred from FINRA- Bolton, MA
Brett Briggs-Western International Securities Broker- Permanently Barred from FINRA- Bolton, MA 150 150 ER

August 2021- Bolton, MA According to publicly available records,  Brett Briggs a broker currently employed by Western International Securities, Inc. discloses 5 regulatory events and 5 prior customer disputes. The Financial…

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