• Robert Rex, Esq.

Michael Kamperman-Former HD Vest Broker-Discloses Regulatory Event, Customer Disputes and a Tax Lien-Waco, TX
Michael Kamperman-Former HD Vest Broker-Discloses Regulatory Event, Customer Disputes and a Tax Lien-Waco, TX 150 150 Robert Rex, Esq.

May 2020-Waco, TX According to publicly available records of Michael Kamperman (CRD#2002603) ,  a  former stockbroker who last worked for HD Vest Investment Services  discloses  a regulatory event, customer disputes and…

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  • Robert Rex, Esq.

Rodrick Dow-Former Securities America Broker-Suspended by FINRA- Houston, TX
Rodrick Dow-Former Securities America Broker-Suspended by FINRA- Houston, TX 150 150 Robert Rex, Esq.

April 2020-Houston, TX According to publicly available records of Rodrick Dow (CRD#2855724) ,  a  former stockbroker who last worked for Securities America, Inc.,  was recently suspended indefinitely. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Anthony Vaccaro, Jr.- Former Raymond James Broker-Discloses Regulatory Event & Termination-Dallas, TX
Anthony Vaccaro, Jr.- Former Raymond James Broker-Discloses Regulatory Event & Termination-Dallas, TX 150 150 Robert Rex, Esq.

April 2020-Dallas, TX According to publicly available records of Anthony F. Vaccaro, Jr. (CRD#3139011) ,  a  former stockbroker who last worked for Raymond James & Associates, Inc.   discloses  a regulatory event…

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  • Robert Rex, Esq.

Ernie Garcia-Former Fidelity Brokerage Services Broker-Barred From FINRA- Discloses Regulatory Event and Termination-Westlake, TX
Ernie Garcia-Former Fidelity Brokerage Services Broker-Barred From FINRA- Discloses Regulatory Event and Termination-Westlake, TX 150 150 Robert Rex, Esq.

April 2020- Westlake, TX The FINRA records of Ernie Garcia, a broker previously employed  by  Fidelity Brokerage Services, Inc. , disclose  a regulatory event resulting in his bar from the securities industry and…

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  • Robert Rex, Esq.

Sofia T. Gonzalez-Former Merrill LynchBroker- Discloses 2 Regulatory Events and Termination-Houston, TX
Sofia T. Gonzalez-Former Merrill LynchBroker- Discloses 2 Regulatory Events and Termination-Houston, TX 150 150 Robert Rex, Esq.

April 2020-Houston, TX According to publicly available records.  Sofia T. Gonzalez (CRD#6243469), a  former stockbroker who last worked for Merrill Lynch, Pierce, Fenner & Smith Incorporated discloses 2 regulatory events, …

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  • Robert Rex, Esq.

Leonard “Lenny” Kinsman-Former Wells Fargo Broker- Subject of Customer Suits & Regulatory Bar-Staten Island, NY
Leonard “Lenny” Kinsman-Former Wells Fargo Broker- Subject of Customer Suits & Regulatory Bar-Staten Island, NY 150 150 Robert Rex, Esq.

June 2020-Staten Island, NY According to publicly available records of Leonard “Lenny” Kinsman (CRD#2816535) ,  a former broker who was last registered with Wells Fargo Advisors Financial Network, discloses 5 prior…

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  • Robert Rex, Esq.

Michael Rappa-Former Foresters Equity Services Broker Barred from FINRA-Discloses Regulatory Event and Two Pending Customer Disputes-Rocklin, CA
Michael Rappa-Former Foresters Equity Services Broker Barred from FINRA-Discloses Regulatory Event and Two Pending Customer Disputes-Rocklin, CA 150 150 Robert Rex, Esq.

June 2020- San Diego, CA The FINRA records of Michael Rappa, a broker previously employed  by  Foresters Equity Services,  , disclose  a regulatory event resulting in his bar from the securities industry…

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  • Robert Rex, Esq.

Jun Zhou-Former The Leaders Group, Inc. Broker- Barred from FINRA-Chicago, IL
Jun Zhou-Former The Leaders Group, Inc. Broker- Barred from FINRA-Chicago, IL 150 150 Robert Rex, Esq.

April 2020- Chicago, IL The FINRA records of Jun Zhou, a broker previously employed  by  The Leaders Group, Inc. & Farmers Financial Solutions, disclose  a regulatory event resulting in her bar from…

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  • Robert Rex, Esq.

James Kearney-Former Raymond James Broker-Discharged for Trading Without Permission-Houston, TX
James Kearney-Former Raymond James Broker-Discharged for Trading Without Permission-Houston, TX 150 150 Robert Rex, Esq.

April 2020-Houston, TX According to publicly available records of James Joseph Kearney (CRD#265734) ,  a  former stockbroker who last worked for Raymond, James & Associates,  discloses  a regulatory event,  3 customer…

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  • Robert Rex, Esq.

Clayton Wertz-Former First Financial Equity Broker-Barred from Securities Industry-Dallas, TX
Clayton Wertz-Former First Financial Equity Broker-Barred from Securities Industry-Dallas, TX 150 150 Robert Rex, Esq.

April 2020-Dallas, TX The FINRA records of Clayton H. Wertz, a broker last employed  in the securities industry by First Canterbury Securities, Inc., disclose  a regulatory event resulting in his bar…

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