• Robert Rex, Esq.

Judith Johnston-Former NY Life Financial Advisor-Subject of Numerous Customer Complaints Over Annuities-Frisco, TX
Judith Johnston-Former NY Life Financial Advisor-Subject of Numerous Customer Complaints Over Annuities-Frisco, TX 150 150 Robert Rex, Esq.

March 2019- Frisco, Texas We are currently investigating former NY Life Securities  financial advisor Judith Adele Johnston . According to publicly available records , Judith Johnston ,  discloses a recent regulatory matter,…

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  • Robert Rex, Esq.

Jody Bowers-Former SagePoint Financial Broker-Subject of $6M Customer Suit Over ETF Investments-Abilene, TX
Jody Bowers-Former SagePoint Financial Broker-Subject of $6M Customer Suit Over ETF Investments-Abilene, TX 150 150 Robert Rex, Esq.

June 2019- Abilene, Texas We are currently investigating former SagePoint Financial financial advisor Jody Bowers on behalf of an elderly widow living in North Texas, who anticipates filing a FINRA…

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  • Robert Rex, Esq.

Robert Berg-Summit Brokerage Services Broker-Discloses Customer Dispute Alleging Aggressive Trading- Danbury, CT
Robert Berg-Summit Brokerage Services Broker-Discloses Customer Dispute Alleging Aggressive Trading- Danbury, CT 150 150 Robert Rex, Esq.

March 2019 – Danbury, CT According to publicly available records  Robert Eugene Berg   (CRD#1218879) ,  a  stockbroker who is currently registered with Summit Brokerage Services,  disclose 1 pending and 2 prior customer disputes.…

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  • Robert Rex, Esq.

Richard Wesselt-Former O.N. Equity Sales/Sterne Agee Broker-Discloses $10M Customer Dispute-Collegeville, PA
Richard Wesselt-Former O.N. Equity Sales/Sterne Agee Broker-Discloses $10M Customer Dispute-Collegeville, PA 150 150 Robert Rex, Esq.

April 2020 – Collegeville, PA According to publicly available records  Richard Michael Wesselt  (CRD# 2195569) ,  a   registered stockbroker currently employed by Fortune Financial Services, Inc. disclose 4 pending customer disputes…

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  • Robert Rex, Esq.

Bill Council-Raymond James Broker- Discloses 3 Pending Customer Complaints-San Diego, CA
Bill Council-Raymond James Broker- Discloses 3 Pending Customer Complaints-San Diego, CA 150 150 Robert Rex, Esq.

March 2019 – San Diego, CA According to publicly available records William  (“Bill”) Michael Council  (CRD#848504) ,  a  stockbroker who is currently registered with Raymond James & Associates, Inc.,  disclose  3 pending customer disputes…

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  • Robert Rex, Esq.

Spartan Securities Group Named in SEC Regulatory Action Over Penny Stocks-Clearwater, FL
Spartan Securities Group Named in SEC Regulatory Action Over Penny Stocks-Clearwater, FL 150 150 Robert Rex, Esq.

February 2019-Tampa, FL The U.S. Securities & Exchange Commission (SEC) issued a litigation release on 2/21/2019 charging Spartan Securities Group, Ltd. , Island Capital Management, LLC, Carl E. Dilley, Micah…

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  • Robert Rex, Esq.

John Spach-Former Kestra Investment Services Broker-Discloses $450K Settlement & Termination from Employment-Calabasas, CA
John Spach-Former Kestra Investment Services Broker-Discloses $450K Settlement & Termination from Employment-Calabasas, CA 150 150 Robert Rex, Esq.

February 2019 – Calabasas, CA According to publicly available records John William Spach  (CRD#2731192) ,  a  previously registered stockbroker who was last employed by Kestra Investment Services, LLC disclose  a recent regulatory sanction, a…

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  • Robert Rex, Esq.

Bruce Worthington-Former Founders Financial Securities Broker-Discloses Regulatory Event, Pending Investigation, Termination & Customer Complaint-Middleton, MA
Bruce Worthington-Former Founders Financial Securities Broker-Discloses Regulatory Event, Pending Investigation, Termination & Customer Complaint-Middleton, MA 150 150 Robert Rex, Esq.

February 2019-Middleton, MA According to publicly available records Bruce C. Worthington (CRD# 2193895) ,  a  stockbroker previously employed by Founders Financial Securities, discloses a pending regulatory event, a prior regulatory event, a  pending…

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  • Robert Rex, Esq.

Marc Allen Miller II- Raymond James Broker-Discloses Pending Customer Dispute-Port Charlotte, FL
Marc Allen Miller II- Raymond James Broker-Discloses Pending Customer Dispute-Port Charlotte, FL 150 150 Robert Rex, Esq.

February 2019- Port Charlotte, FL According to publicly available records Marc Allen Miller II (CRD#4521825) ,  a  stockbroker registered with Raymond James & Associates,  disclose a  pending customer dispute. The Financial Industry Regulatory Authority…

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