• Robert Rex, Esq.

Trevor Carney-Ascendant Alternative Strategies Broker-Discloses Regulatory Event-Austin, TX
Trevor Carney-Ascendant Alternative Strategies Broker-Discloses Regulatory Event-Austin, TX 150 150 Robert Rex, Esq.

January 2019 – Austin, TX According to publicly available records Trevor Martin Carney  (CRD#5657735) ,  a  stockbroker who is currently registered with Ascendant Alternative Strategies ,  disclose a Regulatory Event and two currently outstanding judgment/liens.…

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  • Robert Rex, Esq.

Omar Richardson-Charles Schwab Broker-Discloses Pending Customer Suit-Austin, TX
Omar Richardson-Charles Schwab Broker-Discloses Pending Customer Suit-Austin, TX 150 150 Robert Rex, Esq.

January 2019 – Austin, TX According to publicly available records  Omar Charles Richardson , a stockbroker who is currently registered with  Charles Schwab & Co., Inc., discloses  a pending customer dispute The…

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  • Robert Rex, Esq.

Doug Maurer-Ascendant Alternative Strategies Broker-Discloses $5.975 Million Settlement-Laguna Niguel, CA 
Doug Maurer-Ascendant Alternative Strategies Broker-Discloses $5.975 Million Settlement-Laguna Niguel, CA  150 150 Robert Rex, Esq.

November 2020, Laguna Niguel, CA According to publicly available records  Aaron Douglas (Doug) Maurer , a stockbroker previoiusly registered with Ascendant Alternative Strategies & RP Capital , discloses a prior customer…

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  • Robert Rex, Esq.

Kris Gaudet-Former Ameritas Broker-Discloses Fraud Investigation & Termination-Cut Off, LA
Kris Gaudet-Former Ameritas Broker-Discloses Fraud Investigation & Termination-Cut Off, LA 150 150 Robert Rex, Esq.

October 2019- Cut Off, LA According to publicly available records  Kristian “Kris” M. Gaudet , a former stockbroker who  was registered with Ameritas Investment Corp., discloses a recent regulatory event resulting…

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  • Robert Rex, Esq.

Philip Rosensweig-Former Laidlaw & Co. Broker-Discloses Numerous Customer Suits-Boca Raton, FL
Philip Rosensweig-Former Laidlaw & Co. Broker-Discloses Numerous Customer Suits-Boca Raton, FL 150 150 Robert Rex, Esq.

January 2019- Boca Raton, FL According to publicly available records  Philip E. Rosensweig , a stockbroker who formerly was registered with Laidlaw & Co. and who is currently employed by Westpark…

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  • Robert Rex, Esq.

Travis Hughes of Hughes Financial Group-Discloses Numerous Customer Suits-El Paso, TX
Travis Hughes of Hughes Financial Group-Discloses Numerous Customer Suits-El Paso, TX 150 150 Robert Rex, Esq.

  Link to March 2024 UPDATE January 2019-El Paso, Texas According to publicly available records   Travis Jerome Hughes , a  stockbroker who is currently registered with Cetera Advisors  disclose a currently pending customer…

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  • Robert Rex, Esq.

Ian Greenblatt-Capitol Securities Management Broker-Discloses Regulatory Suspension and Settlement of Customer Dispute-Melville, NY
Ian Greenblatt-Capitol Securities Management Broker-Discloses Regulatory Suspension and Settlement of Customer Dispute-Melville, NY 150 150 Robert Rex, Esq.

December 2018-Melville, New York According to publicly available records   Ian Greenblatt (aka Eric Green)  , a  stockbroker who is currently registered with Capitol Securities Management Inc.  disclose a recent regulatory suspension & fine…

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  • Robert Rex, Esq.

Jon Pariser-Former Independent Financial Group Broker-Subject of $2.7M Customer Suits Over Note Sales-Pacific Grove, CA
Jon Pariser-Former Independent Financial Group Broker-Subject of $2.7M Customer Suits Over Note Sales-Pacific Grove, CA 150 150 Robert Rex, Esq.

December 2018-Pacific Grove, CA According to publicly available records    Jon R. Pariser , a  former stockbroker who was last registered with Independent Financial Group , and before that SWS Financial Services,  disclose…

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  • Robert Rex, Esq.

Kestra To Be Put Up For Sale-Austin, Texas
Kestra To Be Put Up For Sale-Austin, Texas 150 150 Robert Rex, Esq.

December 2018- Austin, Texas The Investment News reports that broker dealer Kestra is being put up for sale. Goldman Sachs has been hired as its investment banker to head up…

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  • Robert Rex, Esq.

Jennifer Ling-Former Axiom Capital Management Broker-Subject of Customer Suits Over Aequitas Note Investments-Austin, TX
Jennifer Ling-Former Axiom Capital Management Broker-Subject of Customer Suits Over Aequitas Note Investments-Austin, TX 150 150 Robert Rex, Esq.

March 2019-Austin, TX  According to publicly available records    Jennifer Ling , a  stockbroker who is not currently registered and who was last registered with Axiom Capital Management, and before that Fidelity…

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