• Robert Rex, Esq.

Brad Wilson-VSR Financial Broker-Discloses Settlement of Customer Dispute
Brad Wilson-VSR Financial Broker-Discloses Settlement of Customer Dispute 150 150 Robert Rex, Esq.

October 2016-Houston, Texas The FINRA records of  John “Brad” Wilson,  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…

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  • Robert Rex, Esq.

Rick Davidson-Former Morgan Stanley Broker-Discloses Settlement of Customer Suits
Rick Davidson-Former Morgan Stanley Broker-Discloses Settlement of Customer Suits 150 150 Robert Rex, Esq.

SEPTEMBER 2018 The FINRA records of  Rick A. Davidson,  a  stockbroker who is currently employed by  National Securities Corporation  disclose 5 prior customer disputes that that are final  and a separation from employment after allegations. The…

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  • Robert Rex, Esq.

Daniel Cabrera-BBVA Securities-Discloses Settlement Over Annuity Sales
Daniel Cabrera-BBVA Securities-Discloses Settlement Over Annuity Sales 150 150 Robert Rex, Esq.

September 2016-Helotes, Texas The FINRA records of  Daniel A. Cabrera,  a  stockbroker who is currently employed by  BBVA Securities  disclose a prior customer dispute that was settled. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses…

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  • Robert Rex, Esq.

Gregory Bauer-Former H. Beck Broker-Barred from Securities Industry for Theft
Gregory Bauer-Former H. Beck Broker-Barred from Securities Industry for Theft 150 150 Robert Rex, Esq.

October 2016-Moon Township, PA The FINRA records of  Gregory R. Bauer,  a  former stockbroker who most recently was  employed by  H. Beck, Inc.  disclose a final regulatory event and a termination from employment. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

NEXT Financial Group Settles Tenant in Common Case
NEXT Financial Group Settles Tenant in Common Case 150 150 Robert Rex, Esq.

October 2016 Next Financial Group, Inc. , a stock brokerage firm headquartered in Houston, Texas, recently settled a claim brought by a customer alleging damages of $4,000,000 for breach of…

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  • Robert Rex, Esq.

Old Security Financial Group of Spring, Texas, Fined $100,000 by Securities Regulators
Old Security Financial Group of Spring, Texas, Fined $100,000 by Securities Regulators 150 150 Robert Rex, Esq.

October 2016- Spring, Texas The Texas State Securities Board (TSSB) sanctioned  Old Security Financial Group, Inc. of Spring, Texas,  fining the company $100,000 for selling unregistered investments in a mortgage note…

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  • Robert Rex, Esq.

San Antonio Based Investment Adviser Sanctioned by Texas Regulators
San Antonio Based Investment Adviser Sanctioned by Texas Regulators 150 150 Robert Rex, Esq.

September 2016- San Antonio, Texas The Texas State Securities Board (TSSB) sanctioned San Antonio investment adviser firm Rubicon Investment Management & Analytics and barred its president Michael Yves Heridia from…

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  • Robert Rex, Esq.

Billy Fox-First Allied Securities Broker-Discloses Pending Customer Dispute-Austin, TX
Billy Fox-First Allied Securities Broker-Discloses Pending Customer Dispute-Austin, TX 150 150 Robert Rex, Esq.

February 2020-Austin, Texas The FINRA records of  William F.  “Billy” Fox,  a  stockbroker who is currently employed by  First Allied Securities  disclose 2 prior customer disputes that are final and one currently pending…

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  • Robert Rex, Esq.

Barry M. Kiront-Craft Capital Management Broker Discloses 10 Customer Disputes-Garden City, NY
Barry M. Kiront-Craft Capital Management Broker Discloses 10 Customer Disputes-Garden City, NY 150 150 Robert Rex, Esq.

APRIL 2018 UPDATE–Barry Kiron’ts FINRA record currently discloses 13 prior customer disputes. October 2016-Garden City, NY The FINRA records of  Barry M. Kiront,  a  stockbroker who is currently employed by  Craft Capital Management  disclose 10 prior…

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  • Robert Rex, Esq.

Jens Pinkernell Suspended by Texas Securities Regulators-Gunter, TX
Jens Pinkernell Suspended by Texas Securities Regulators-Gunter, TX 150 150 Robert Rex, Esq.

October 2016-Gunter, Texas The Texas State Securities Board (TSSB)  entered an order suspending the investment adviser registration of Jens Pinkernell and his company J. Pinkernell Global Wealth, LLC for five years.…

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