• Robert Rex, Esq.

Jason H. LeBlanc-Former Girard Securities Broker-Barred From Securities Industry-Fulshear, TX
Jason H. LeBlanc-Former Girard Securities Broker-Barred From Securities Industry-Fulshear, TX 150 150 Robert Rex, Esq.

September 2017 -Fulshear, Texas According to publicly available records Jason H. LeBlanc (CRD#2483182) , a  former stockbroker who was last employed by Girard Securities , disclose  a prior regulatory event,  3 prior customer disputes and a…

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  • Robert Rex, Esq.

Study by Regulators Confirms That Elderly Are Most Vulnerable to Financial Abuse/Fraud
Study by Regulators Confirms That Elderly Are Most Vulnerable to Financial Abuse/Fraud 150 150 Robert Rex, Esq.

August 2017 The North American Securities Administrators Association (NASAA) recently released a study showing that financial fraud on the elderly has increased, despite increased awareness and regulatory attempts to protect…

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  • Robert Rex, Esq.

SEC Files Action vs. FL and TN Oil and Gas Deal Scammers
SEC Files Action vs. FL and TN Oil and Gas Deal Scammers 150 150 Robert Rex, Esq.

August 2017-Ft. Lauderdale, FL/ Gallatin, TN The Securities and Exchange Commission charged two men from Tennessee and a man from Florida with allegedly defrauding investors by false promises of high…

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  • Robert Rex, Esq.

Couple Awarded $550,000 For Losses on Breitburn Energy Investments-St. Louis
Couple Awarded $550,000 For Losses on Breitburn Energy Investments-St. Louis 150 150 Robert Rex, Esq.

September 2017-St. Louis, MO A FINRA arbitration panel ordered J.J.B. Hilliard, W.L. Lyons to pay a couple $450,000 in compensatory damages, $100,000 in punitive damages and costs of over $18,000.…

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  • Robert Rex, Esq.

Jason H. LeBlanc-Former Girard Securities Broker-Barred From Securities Industry-Fulshear, TX
Jason H. LeBlanc-Former Girard Securities Broker-Barred From Securities Industry-Fulshear, TX 150 150 Robert Rex, Esq.

September 2017 -Fulshear, Texas According to publicly available records Jason H. LeBlanc (CRD#2483182) , a  former stockbroker who was last employed by Girard Securities , disclose  a prior regulatory event,  3 prior customer disputes and a…

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  • Robert Rex, Esq.

Paul W. Smith-Former Bolton Global Capital Broker Investigated Over Haverford Investment-Wayne, PA
Paul W. Smith-Former Bolton Global Capital Broker Investigated Over Haverford Investment-Wayne, PA 150 150 Robert Rex, Esq.

September 2017 -Wayne, PA According to publicly available records Paul W. Smith (CRD#1070735) , a  former stockbroker who was last registered with Bolton Global Capital , disclose  a final regulatory event , 7 pending customer…

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  • Robert Rex, Esq.

Guy Magarelli-Newbridge Securities Broker-Discloses Customer Dispute-Boca Raton, FL
Guy Magarelli-Newbridge Securities Broker-Discloses Customer Dispute-Boca Raton, FL 150 150 Robert Rex, Esq.

September 2017 -Boca Raton, FL According to publicly available records Gaetano “Guy” Magarelli (CRD#2227996) , a  stockbroker who is registered with Newbridge Securities Corporation , disclose  2 pending customer disputes , 3 prior customer disputes…

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  • Robert Rex, Esq.

William B. Wyman-Former Royal Alliance Assoc. Broker-Barred From Securities Industry-Palm Bay, FL
William B. Wyman-Former Royal Alliance Assoc. Broker-Barred From Securities Industry-Palm Bay, FL 150 150 Robert Rex, Esq.

April 2017- Palm Bay, FL The FINRA records of  William B. Wyman ,  a  former stockbroker who was  employed by  Royal Alliance Associates disclose a prior regulatory event,  a pending customer dispute, two prior…

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  • Robert Rex, Esq.

William H. Watson III-Former Freedom Investors Broker- Discloses Regulatory events, Customer Disputes-Federal Tax Liens-Orange County, CA
William H. Watson III-Former Freedom Investors Broker- Discloses Regulatory events, Customer Disputes-Federal Tax Liens-Orange County, CA 150 150 Robert Rex, Esq.

August 2018 -Orange County, CA According to publicly available records William Henry Watson III (CRD#1016938) , a  stockbroker who was previously registered with Freedom Investors Corp, disclose  two regulatory events , seven customer disputes and…

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  • Robert Rex, Esq.

Glenn R. King- Prior Buckman, Buckman & Reid, Inc. Broker- Discloses FINRA Sanction, Numerous Customer Disputes – Shrewsbury, NJ
Glenn R. King- Prior Buckman, Buckman & Reid, Inc. Broker- Discloses FINRA Sanction, Numerous Customer Disputes – Shrewsbury, NJ 150 150 Robert Rex, Esq.

August 2017 – Shrewsbury, NJ According to publicly available records  Glenn Robert King (CRD#2191091) , a former stockbroker who was last registered with Buckman, Buckman & Reid, Inc. disclose a regulatory event,…

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