• Robert Rex, Esq.

CHARLES MCINNIS- FORMER CAMBRIDGE INVESTMENT BROKER- DISCLOSES REGULATORY SUSPENSION-MIAMI, FL
CHARLES MCINNIS- FORMER CAMBRIDGE INVESTMENT BROKER- DISCLOSES REGULATORY SUSPENSION-MIAMI, FL 150 150 Robert Rex, Esq.

April 2017- Miami, FL The FINRA records of  Charles M. McInnis (CRD # 1321666) ,  a  stockbroker who was previously employed by  Cambridge Investment Research, Inc.   disclose 3 final regulatory events,  3 customer disputes that are…

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  • Robert Rex, Esq.

Demitrios Hallas-Former PHX Financial Broker-Named in SEC Complaint-
Demitrios Hallas-Former PHX Financial Broker-Named in SEC Complaint- 150 150 Robert Rex, Esq.

April 2017- New York The FINRA records of  Demitrios Hallas ,  a  former PHX Financial stockbroker who is currently not registered disclose two final regulatory events, 2 prior customer disputes and a termination from employment.…

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  • Robert Rex, Esq.

Three Arrested in Investment Scheme-San Antonio, TX
Three Arrested in Investment Scheme-San Antonio, TX 150 150 Robert Rex, Esq.

April 2017- San Antonio, TX The U.S. Attorney’s Office for the Western District of Texas announced the arrest of three men who face federal charges for their alleged  roles in…

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  • Robert Rex, Esq.

SEC Warns Investors– Beware of Fake News
SEC Warns Investors– Beware of Fake News 150 150 Robert Rex, Esq.

April 2017- Washington, DC The U. S. Securities and Exchange Commission issued an Investor Alert warning that articles on an investment research website appearing to be an unbiased source of…

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  • Robert Rex, Esq.

Investigation of Capitol Securites Broker Ian Greenblatt (aka Eric Green )-Melville, NY
Investigation of Capitol Securites Broker Ian Greenblatt (aka Eric Green )-Melville, NY 150 150 Robert Rex, Esq.

April 2017- Melville, New York The FINRA records of  Ian Greenblatt (aka Eric Green ) ,  a  stockbroker who is  employed by  Capitol Securities Management  disclose 3 prior final customer disputes. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Roger Zajicek- Investors Capital Corp. Broker- Discloses Settlement of Customer Dispute – Lincoln, NE
Roger Zajicek- Investors Capital Corp. Broker- Discloses Settlement of Customer Dispute – Lincoln, NE 150 150 Robert Rex, Esq.

April 2017- Lincoln, NE The FINRA records of  Roger Zajicek  (CRD#862710) a stockbroker with Investors Capital Corp.,  discloses one pending and four prior final  customer disputes. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and…

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  • Robert Rex, Esq.

Robert S. Graham-Former Capital Investment Group Broker-Subject of Customer Arbitration-Scottsdale, AZ
Robert S. Graham-Former Capital Investment Group Broker-Subject of Customer Arbitration-Scottsdale, AZ 150 150 Robert Rex, Esq.

March 2019-Scottsdale, AZ The FINRA records of  Robert S. Graham ,  a  stockbroker who is currently unregistered and who last was employed by  First Allied Securities, disclose a  regulatory event and a…

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  • Robert Rex, Esq.

Steven P. Sappington-G.A. Repple Broker-Discloses Financial Events and Customer Dispute-Waco, TX
Steven P. Sappington-G.A. Repple Broker-Discloses Financial Events and Customer Dispute-Waco, TX 150 150 Robert Rex, Esq.

April 2017-Waco, Texas The FINRA records of  Steven P. Sappington ,  a  stockbroker who is currently registered with G.A. Repple disclose a  prior customer dispute, 3 pending financial events and 2 prior financial events.…

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  • Robert Rex, Esq.

Michelle D. Drake-Former Rhodes Securities Broker-Discloses Discharge From Employment-Colleyville, TX
Michelle D. Drake-Former Rhodes Securities Broker-Discloses Discharge From Employment-Colleyville, TX 150 150 Robert Rex, Esq.

April 2017-Colleyville, Texas The FINRA records of  Michelle Diane Drake ,  a  stockbroker who is currently  registered with   Prospera Financial Services  disclose a termination from employment. The Financial Industry Regulatory Authority (FINRA) is the…

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  • Robert Rex, Esq.

Daniel C. Stewart-Former VSR Financial Services Broker-Discloses Customer Dispute-Shawnee, KS
Daniel C. Stewart-Former VSR Financial Services Broker-Discloses Customer Dispute-Shawnee, KS 150 150 Robert Rex, Esq.

April 2017-Shawnee, KS The FINRA records of  Daniel C. Stewart ,  a  stockbroker who was formerly  employed by  VSR Financial Services  disclose a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…

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