• Robert Rex, Esq.

Bernard Breton -Cetera Advisors Broker-Discloses Pending Customer Dispute- Parker, CO.
Bernard Breton -Cetera Advisors Broker-Discloses Pending Customer Dispute- Parker, CO. 150 150 Robert Rex, Esq.

April 2017-Parker, CO According to publicly available records Bernard A. Breton, (CRD#2030660) ,  a  stockbroker who is currently registered with  Cetera Advisors, discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…

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  • Robert Rex, Esq.

Michael Jump-Former Investment Planners Inc. Broker-Discloses Customer Disputes/Termination-Somonauk, IL
Michael Jump-Former Investment Planners Inc. Broker-Discloses Customer Disputes/Termination-Somonauk, IL 150 150 Robert Rex, Esq.

June 2017-Somonauk, IL According to publicly available records Michael A. Jump  (CRD#1146669) ,  a  stockbroker currently registered with Chelsea Financial Services  discloses 2 regulatory events, four customer disputes and a termination. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Anthony J. Verzi-Former Morgan Stanley Broker-Discloses Customer Dispute/Regulatory Sanction Over UIT Sales-Melbourne, FL
Anthony J. Verzi-Former Morgan Stanley Broker-Discloses Customer Dispute/Regulatory Sanction Over UIT Sales-Melbourne, FL 150 150 Robert Rex, Esq.

The FINRA records of Anthony J. Verzi ,  a  stockbroker who formerly was employed by Morgan Stanley disclose a final regulatory event and a pending customer dispute, both of which relate to the…

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  • Robert Rex, Esq.

Brian K. Hardwick-Former Red River Securities Broker-Discloses Sanctions Over Oil & Gas Deals
Brian K. Hardwick-Former Red River Securities Broker-Discloses Sanctions Over Oil & Gas Deals 150 150 Robert Rex, Esq.

May 2017 – Carrollton, TX According to publicly available records Brian K. Hardwick  (CRD#4522460) ,  a  former stockbroker who was barred by FINRA from acting as a broker or otherwise associating with firms…

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  • Robert Rex, Esq.

Douglas Hardwick-Former Texas Securities Broker-Sanctioned for Sale of Oil & Gas Investments
Douglas Hardwick-Former Texas Securities Broker-Sanctioned for Sale of Oil & Gas Investments 150 150 Robert Rex, Esq.

May 2017 – Carrollton, TX According to publicly available records Douglas R. Hardwick  (CRD#4522610) ,  a  stockbroker currently not registered, but who was previously registered with  Texas Securities, Inc.,  discloses a pending regulatory…

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  • Robert Rex, Esq.

Nicholas Toadvine – Former Investors Capital Corp. Broker- Discloses 12 Prior Final Customer Disputes – Lakeland, FL
Nicholas Toadvine – Former Investors Capital Corp. Broker- Discloses 12 Prior Final Customer Disputes – Lakeland, FL 150 150 Robert Rex, Esq.

May 2017- Lakeland, FL According to publicly available records Nicholas S. Toadvine, (CRD#3260858) ,  a  stockbroker who  was previously registered with Investors Capital Corp. discloses 12  prior final  customer disputes. The Financial Industry Regulatory Authority (FINRA) is the…

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  • Robert Rex, Esq.

John G. Chess – Former Investors Capital Corp. Broker- Discloses Customer Disputes – Columbus, OH
John G. Chess – Former Investors Capital Corp. Broker- Discloses Customer Disputes – Columbus, OH 150 150 Robert Rex, Esq.

May 2017- Columbus, OH According to publicly available records John G. Chess , (CRD#4812430) ,  a  stockbroker who  was previously registered with Investors Capital Corp. discloses two prior final  customer disputes. The Financial Industry Regulatory Authority (FINRA) is the…

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  • Robert Rex, Esq.

Hemant Kathuria-Euro Pacific Capital Broker-Discloses Customer Arbitration Over Private Placement Investments-El Segundo, CA
Hemant Kathuria-Euro Pacific Capital Broker-Discloses Customer Arbitration Over Private Placement Investments-El Segundo, CA 150 150 Robert Rex, Esq.

May 2017- El Segundo, CA The FINRA records of  Hemant Kathuria ,  a  stockbroker who is currently employed by  Euro Pacific Capital disclose 1 pending customer dispute and 3 prior final customer disputes. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Elder Financial Exploitation Seminar-Williston, VT-May 18, 2017
Elder Financial Exploitation Seminar-Williston, VT-May 18, 2017 150 150 Robert Rex, Esq.

May 16, 2017-Williston, VT The New England Federal Credit Union is holding a seminar on Elder Financial Exploitation on Thursday, May 18th, at their main branch located at 141 Harvest…

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  • Robert Rex, Esq.

Timothy Hawkins- Former VSR Financial Services Broker – Discloses Customer Dispute-Ankeny, IA
Timothy Hawkins- Former VSR Financial Services Broker – Discloses Customer Dispute-Ankeny, IA 150 150 Robert Rex, Esq.

April 2017- Ankeny, IA The FINRA records  of  Timothy J. Hawkins,  a  stockbroker who is currently employed by  Broker Dealer Financial Services, Inc.  and was previously employed by VSR Financial Services, disclose 2 prior…

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