• Robert Rex, Esq.

James Martin Lamont-Former Whitehall-Parker Securities Broker- Discloses Regulatory Events, $1.5M Customer Dispute Settlements and Tax Liens- Novato, CA
James Martin Lamont-Former Whitehall-Parker Securities Broker- Discloses Regulatory Events, $1.5M Customer Dispute Settlements and Tax Liens- Novato, CA 150 150 Robert Rex, Esq.

October 2020-San Francisco, CA The FINRA records of  James Martin Lamont ,  a  broker who was previously  employed by  Whitehall-Parker Securities  disclose 3 regulatory events, 10 settled customer disputes(which settled cumulatively,…

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  • Robert Rex, Esq.

Jeffrey Nimmow- Former Forest Securities Financial Advisor- Barred from FINRA – Merrimac, WI
Jeffrey Nimmow- Former Forest Securities Financial Advisor- Barred from FINRA – Merrimac, WI 150 150 Robert Rex, Esq.

October 2020- Hillside, IL The FINRA records of Jeffrey Scott Nimmow  , a broker previously employed  by  Forest Securities, Inc. , disclose  a regulatory event resulting in his bar from the securities industry, two pending customer…

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  • Robert Rex, Esq.

Rodney D. Potratz-FSC Securities Corporation Broker-Discloses $6 Million Pending Customer Dispute-Clive.IA
Rodney D. Potratz-FSC Securities Corporation Broker-Discloses $6 Million Pending Customer Dispute-Clive.IA 150 150 Robert Rex, Esq.

February 2020 -Clive, IA The FINRA records of Rodney David Potratz  , a stockbroker  who is currently registered with FSC Securities Corporation , disclose a $6 million pending customer dispute. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Kerry Dean Wills- First Western Securities Broker- Suspended for Borrowing from Elderly Customer- Hurst, TX
Kerry Dean Wills- First Western Securities Broker- Suspended for Borrowing from Elderly Customer- Hurst, TX 150 150 Robert Rex, Esq.

February 2010-Hurst, TX According to publicly available records of Kerry D. Wills (CRD#1353739) ,  a  stockbroker employed with First Western Securities, Inc.,  discloses a regulatory event resulting in a suspension and…

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  • Robert Rex, Esq.

John T. Howard-Raymond James Broker-Discloses $1.13 Million Award & Pending Customer Dispute-Birmingham, AL
John T. Howard-Raymond James Broker-Discloses $1.13 Million Award & Pending Customer Dispute-Birmingham, AL 150 150 Robert Rex, Esq.

February 2020- Birmingham, AL The FINRA records of John Troy Howard (CRD#2264121)  , a broker with Raymond James & Associates, Inc. discloses a prior arbitration award and a pending customer dispute. The Financial Industry…

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  • Robert Rex, Esq.

Lester Burroughs-Former Lincoln Investment Broker- Discloses 2 Regulatory Events, A Criminal Charge, Pending Customer Disputes, 8 Prior Customer Disputes and a Termination-Torrington, CT
Lester Burroughs-Former Lincoln Investment Broker- Discloses 2 Regulatory Events, A Criminal Charge, Pending Customer Disputes, 8 Prior Customer Disputes and a Termination-Torrington, CT 150 150 Robert Rex, Esq.

January 2020-Torrington, CT According to publicly available records.  Lester William Burroughs (CRD#1413972), a  former stockbroker who last worked for Lincoln Investment  discloses 2 regulatory events, a criminal charge,  a pending…

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  • Robert Rex, Esq.

Dean H. Grant-Former M Holdings Securities Broker-Discloses Pending Criminal Charges -Milledgeville, GA
Dean H. Grant-Former M Holdings Securities Broker-Discloses Pending Criminal Charges -Milledgeville, GA 150 150 Robert Rex, Esq.

February 2020- Milledgeville, GA The FINRA records of Dean Harrison Grant  , a former stock broker who last worked for M Holdings Securities, Inc. , disclose  a regulatory event resulting in a bar from the securities…

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  • Robert Rex, Esq.

Investigation of FSC Securities Broker Lee Kramer -West Palm Beach, FL/Frederick, MD
Investigation of FSC Securities Broker Lee Kramer -West Palm Beach, FL/Frederick, MD 150 150 Robert Rex, Esq.

October 2020- West Palm Beach, Florida/Frederick, Maryland We are investigating FSC Securities Corporation financial advisor Lee R. Kramer. According to publicly available records, Lee R. Kramer discloses 7 prior regulatory…

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  • Robert Rex, Esq.

Rita Marie Dulya-Former Kovac Securities Broker-Discloses Pending Criminal Charges- Theft Of a Person 65 or Older-Port St. Lucie, FL
Rita Marie Dulya-Former Kovac Securities Broker-Discloses Pending Criminal Charges- Theft Of a Person 65 or Older-Port St. Lucie, FL 150 150 Robert Rex, Esq.

February 2020- Port St. Lucie, FL The FINRA records of Rita Marie Dulya  , a former stock broker who last worked for Kovack Securities, Inc. , disclose  a regulatory event resulting in a bar from the…

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  • Robert Rex, Esq.

Steven Netzel-Former Kalos Capital Broker-Discloses Pending $300K Customer Dispute-Sun Lakes, AZ
Steven Netzel-Former Kalos Capital Broker-Discloses Pending $300K Customer Dispute-Sun Lakes, AZ 150 150 Robert Rex, Esq.

February 2020 – Sun Lakes, AZ The FINRA records of Steven M. Netzel  , a stockbroker  who is currently not registered and who previously was employed by Kalos Capital , disclose  a currently pending…

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