• Robert Rex, Esq.

Norman Sicard-Formerly of Broker Dealer Finanical Services-Discloses Settlement Customer Claim for $450K-Orlando, FL
Norman Sicard-Formerly of Broker Dealer Finanical Services-Discloses Settlement Customer Claim for $450K-Orlando, FL 150 150 Robert Rex, Esq.

FEBRUARY 2019-Orlando, Florida The FINRA records of  Norman R. Sicard, Jr. ,  a   former stock broker who was last  employed by Broker Dealer Financial Services Corp.  disclose that he was sanctioned by…

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  • Robert Rex, Esq.

Timothy Walsh-Former Fortune Financial Services Broker-Discloses Settlement of Customer Suit-Fort Worth, TX
Timothy Walsh-Former Fortune Financial Services Broker-Discloses Settlement of Customer Suit-Fort Worth, TX 150 150 Robert Rex, Esq.

September 2019 -Ft. Worth, Texas The FINRA records of  Timothy D. Walsh ,  a   broker who is not currently registered with any broker dealer and who was last employed by Fortune Financial…

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  • Robert Rex, Esq.

Clyde D. Jones-Titan Securities Broker-Subject of Numerous Viatical Related Customer Complaints-Addison, TX
Clyde D. Jones-Titan Securities Broker-Subject of Numerous Viatical Related Customer Complaints-Addison, TX 150 150 Robert Rex, Esq.

May 2018-Addison, Texas The FINRA records of  Clyde D. Jones ,  a   stockbroker who is currently registered with Titan Securities disclose a pending customer dispute, 8  prior final customer disputes  and 2…

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  • Robert Rex, Esq.

Dennis Hayes-Former Newbridge Securities Broker-Discloses Numerous Customer Suits-Charlotte, N. Carolina
Dennis Hayes-Former Newbridge Securities Broker-Discloses Numerous Customer Suits-Charlotte, N. Carolina 150 150 Robert Rex, Esq.

March 2019- Charlotte, N. Carolina According to FINRA records,  Dennis Allen Hayes ,  a stock broker who  is not currently registered and who formerly worked for Newbridge Securities Corp. , discloses a pending regulatory investigaton, 2…

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  • Robert Rex, Esq.

Tom Till-Former ProEquities Broker-Discloses Settlement of Customer Dispute Involving Alternative Investments-Friendswood, TX
Tom Till-Former ProEquities Broker-Discloses Settlement of Customer Dispute Involving Alternative Investments-Friendswood, TX 150 150 Robert Rex, Esq.

May 2018- Friendswood, TX According to FINRA records,  Thomas  “Tom” A. Till ,  a stock broker who  is not currently registered and who last was employed in the industry by ProEquities Inc. , discloses the…

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  • Robert Rex, Esq.

Bradley Freimark-Former ProEquities Broker-Subject of 25 Customer Disputes-Ostego, MN
Bradley Freimark-Former ProEquities Broker-Subject of 25 Customer Disputes-Ostego, MN 150 150 Robert Rex, Esq.

May 2018- Otsego, MN According to FINRA records,  Bradley J. Freimark ,  a stock broker who  is not currently registered and who last was employed in the industry by ProEquities Inc. , discloses 19 prior customer…

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  • Robert Rex, Esq.

Fifth Third Securities Hit With $6M Regulatory Sanction Over Variable Annuity Sales
Fifth Third Securities Hit With $6M Regulatory Sanction Over Variable Annuity Sales 150 150 Robert Rex, Esq.

May 2018 According to a FINRA News Release,  Fifth Third Securities was fined $4 million and required to pay $2 million in restitution for failing to appropriately consider and accurately describe the…

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  • Robert Rex, Esq.

Terry D. Eskind-Edward Jones Broker-Discloses Settlement of Customer Dispute-Conover, N. Carolina
Terry D. Eskind-Edward Jones Broker-Discloses Settlement of Customer Dispute-Conover, N. Carolina 150 150 Robert Rex, Esq.

May 2018- Conover, N. Carolina According to FINRA records,  Terry Dewayne Eskind ,  a stock broker who  is currently employed by Edward Jones , discloses a recent settlement of a customer complaint. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Meredith A. McCutchen-Former Berthel Fisher/Concorde Investment Broker-Settles Customer Suit-Houston, TX
Meredith A. McCutchen-Former Berthel Fisher/Concorde Investment Broker-Settles Customer Suit-Houston, TX 150 150 Robert Rex, Esq.

May 2018-Houston, Texas According to FINRA records,  Meredith Ann McCutchen ,   a stock broker who was previously  employed by Concorde Investment Services and Berthel Fisher and who is currently employed by Moody Securities , discloses a recent…

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  • Robert Rex, Esq.

David J. Schmerber-Former LPL Financial Broker-Settles Dispute Over Unsuitable Investments-Centerville, OH
David J. Schmerber-Former LPL Financial Broker-Settles Dispute Over Unsuitable Investments-Centerville, OH 150 150 Robert Rex, Esq.

May 2018- Centerville, OH According to FINRA records, David Joseph Schmerber,  a  stockbroker who was  formerly employed by LPL Financial Services, disclose  the recent settlement of a customer dispute. The Financial Industry…

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