• 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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  • Robert Rex, Esq.

Christopher A. Knutson-Aegis Capital Broker-Discloses Settlement of Customer Suit
Christopher A. Knutson-Aegis Capital Broker-Discloses Settlement of Customer Suit 150 150 Robert Rex, Esq.

April 2017- Melville, NY According to publicly available records Christopher A. Knutson , (CRD# 2997006) ,  a  stockbroker who is currently registered with Aegis Capital Corp.  discloses settlement of a customer dispute. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

James L. Powers-Former Du Pasquier Broker-Named In Regulatory Complaint-Hoboken, NJ
James L. Powers-Former Du Pasquier Broker-Named In Regulatory Complaint-Hoboken, NJ 150 150 Robert Rex, Esq.

April 2017- Hoboken, New Jersey According to publicly available records James L. Powers  , (CRD# 1793348) ,  a  currently unregistered stockbroker who was last registered with IFS Securities  discloses a pending  regulatory event. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Kris Etter-IMS Securities Broker-Discloses Customer Arbitration Over REIT Investment-Houston, TX
Kris Etter-IMS Securities Broker-Discloses Customer Arbitration Over REIT Investment-Houston, TX 150 150 Robert Rex, Esq.

April 2017- Grapevine, TX According to publicly available records Kristopher F. Etter  , (CRD# 4562123) ,  a  stockbroker who is currently registered with IMS Securities  discloses a pending   customer dispute.  The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Austin Attorney and Partner Plead Guilty to Investment Fraud
Austin Attorney and Partner Plead Guilty to Investment Fraud 150 150 Robert Rex, Esq.

April 2017-Austin, Texas The US Attorney’s Office for the Western District of Texas announced that Austin residents Robert Allen Helms and Janniece S. Kaelin pleaded guilty to federal charges of…

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  • Robert Rex, Esq.

Lloyd Dotson-Former Commonwealth Financial Network Broker-Sanctioned by Securities Regulator-New Canaan, CT
Lloyd Dotson-Former Commonwealth Financial Network Broker-Sanctioned by Securities Regulator-New Canaan, CT 150 150 Robert Rex, Esq.

April 2017- New Canaan, CT According to publicly available records Lloyd Dotson , (CRD# 2551716) ,  a  former stockbroker who was last employed by Commonwealth Financial Network discloses a prior regulator event, 2 prior customer…

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  • Robert Rex, Esq.

Mark C. Parman Sentenced to Six Years on Fraudulent Oil Deals-Frisco, TX
Mark C. Parman Sentenced to Six Years on Fraudulent Oil Deals-Frisco, TX 150 150 Robert Rex, Esq.

April 2017-Frisco, Texas A Texas State Securities Board (TSSB) news release reports that Mark Christopher Parman has been sentenced to six years in state prison after pleading guilty to securities fraud…

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  • Robert Rex, Esq.

Matthew T. Griffith-Former Kestra Investment Services Broker-Discloses Settlement of Customer Dispute-San Diego, CA
Matthew T. Griffith-Former Kestra Investment Services Broker-Discloses Settlement of Customer Dispute-San Diego, CA 150 150 Robert Rex, Esq.

UPDATED April 2018 FINRA records disclose that Matthew T. Griffith is no longer registered with Kestra Investment Services as of 4/2018. In addition FINRA records disclose that FINRA customer arbitration …

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  • Robert Rex, Esq.

Hilltop Securities Fined by Regulators for Failing to Advise Customers-Dallas, TX
Hilltop Securities Fined by Regulators for Failing to Advise Customers-Dallas, TX 150 150 Robert Rex, Esq.

March 2020-Dallas, Texas The FINRA records of  Hilltop Securities,  a  stock brokerage firm headquartered in Dallas, Texas, disclose 52 prior regulator events that are final and 20 prior customer arbitrations. Investigations of…

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