• Robert Rex, Esq.

Mark Beloyan of Tradespot Markets Suspended by Securities Regulators-Davie, FL
Mark Beloyan of Tradespot Markets Suspended by Securities Regulators-Davie, FL 150 150 Robert Rex, Esq.

December 2016-Davie, FL The FINRA records of  Mark B. Beloyan,  a  stockbroker with Tradespot Markets, Inc. , disclose 3 prior regulatory events that are final and two financial disclosures. The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Tye Williams-Former NEXT Financial Broker- Barred From Securities Industry-Frisco, TX
Tye Williams-Former NEXT Financial Broker- Barred From Securities Industry-Frisco, TX 150 150 Robert Rex, Esq.

September 2016-Frisco, Texas Tye Williams, a stockbroker who formerly worked for NEXT Financial Group was barred by the Financial Industry Regulatory Authority (FINRA) from acting as a broker or otherwise…

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  • Robert Rex, Esq.

Investors Capital Corp.-How to Recover Damages For Investment Losses
Investors Capital Corp.-How to Recover Damages For Investment Losses 150 150 Robert Rex, Esq.

November 2016- Lynnfield, MA Investors Capital Corp.  will be closing down and transferring some of its brokers and current clients to another firm within the Cetera network of broker dealers, according…

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  • Robert Rex, Esq.

Kevin Hudak-Former Foothill Securities Broker-Barred From Securities Industry
Kevin Hudak-Former Foothill Securities Broker-Barred From Securities Industry 150 150 Robert Rex, Esq.

November 2016-Albuquerque, NM The FINRA records of  Kevin Hudak,  a  former stockbroker last employed in the industry by Foothill Securities , was permanently barred from acting as a broker or otherwise associating with firms…

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  • Robert Rex, Esq.

Stanley Niekras-Former Purshe Kaplan Broker-Charged in Regulatory Complaint Alleging Financial Abuse of Elderly
Stanley Niekras-Former Purshe Kaplan Broker-Charged in Regulatory Complaint Alleging Financial Abuse of Elderly 150 150 Robert Rex, Esq.

November 2016-Watertown, New York The FINRA records of  Stanley C. Niekras,  a  stockbroker who was formerly  employed by  Purshe Kaplan Sterling Investments disclose 7 prior customer disputes that have been resolved and a currently pending regulatory…

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  • Robert Rex, Esq.

Anthony Mazzo-Former UBS Financial Broker-Discloses Customer Dispute
Anthony Mazzo-Former UBS Financial Broker-Discloses Customer Dispute 150 150 Robert Rex, Esq.

November 2016-Palm Beach, Florida The FINRA records of  Anthony J. Mazzo,  a  stockbroker who is currently  employed by  BB&T Securities disclose 4 prior customer disputes that have been resolved, a currently pending customer dispute and…

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  • Robert Rex, Esq.

Stanley Fortenberry of San Angelo, TX, Sentenced to 78 Months-San Angelo, TX
Stanley Fortenberry of San Angelo, TX, Sentenced to 78 Months-San Angelo, TX 150 150 Robert Rex, Esq.

UPDATE FEBRUARY 2017-Fortenberry sentenced to 78 months in prison. Follow this link to Department of Justice news release for more details on his sentencing.  November 2016, San Angelo, Texas The…

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  • Robert Rex, Esq.

Jesse Shelmire-Stonegate Capital Markets Broker-Sanctioned by Regulators Over IRS Liens
Jesse Shelmire-Stonegate Capital Markets Broker-Sanctioned by Regulators Over IRS Liens 150 150 Robert Rex, Esq.

November 2016- Dallas, Texas The FINRA records of  Jesse B. Shelmire, IV,  a  stockbroker who is currently  employed by  Stonegate Capital Markets, Inc.  disclose 2 prior regulatory events that are final, a pending investigation and…

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  • Robert Rex, Esq.

Ronald Kudlacek-VSR Financial Services Broker-Discloses Settlement of Customer Dispute Involving Annuity
Ronald Kudlacek-VSR Financial Services Broker-Discloses Settlement of Customer Dispute Involving Annuity 150 150 Robert Rex, Esq.

The FINRA records of  Ronald J. Kudlacek,  a  stockbroker who is currently  employed by  VSR Financial Services & Summit Brokerage Services disclose a prior customer dispute that has been resolved. The Financial Industry Regulatory Authority…

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