• Robert Rex, Esq.

Ashley Woodard-Former VOYA Financial Broker- Disgruntled Investors Paid Over $14 Million-Greenville, South Carolina
Ashley Woodard-Former VOYA Financial Broker- Disgruntled Investors Paid Over $14 Million-Greenville, South Carolina 150 150 Robert Rex, Esq.

Ashley Woodard Investigation May 2023 – Greenville/ Greer , South Carolina According to publicly available records  Ashley Charles Woodard  ,  a  stockbroker previously employed by VOYA Financial,  discloses 16 prior customer dispute…

read more
  • Robert Rex, Esq.

George M. Warner-Former Chelsea Financial Broker-Discloses Regulatory Sanction -Horseshoe Bay & Rockwall, TX
George M. Warner-Former Chelsea Financial Broker-Discloses Regulatory Sanction -Horseshoe Bay & Rockwall, TX 150 150 Robert Rex, Esq.

George M. Warner Investigation June 2022-Horseshoe Bay & Rockwall, TX The FINRA records of  George M. Warner ,  a  former stockbroker who last was registered with Chelsea Financial Services disclose 2 prior…

read more
  • Robert Rex, Esq.

Anselmo Contreras, Jr.-Former Cambridge Investment Financial Advisor-Barred From Securities Industry-Angleton, Texas
Anselmo Contreras, Jr.-Former Cambridge Investment Financial Advisor-Barred From Securities Industry-Angleton, Texas 150 150 Robert Rex, Esq.

May 2019 – Angleton, Texas According to publicly available records, former Cambridge Investment Research  financial advisor Anselmo Contreras, Jr.  discloses a recent regulatory event resulting in his bar from the…

read more
  • Robert Rex, Esq.

RIchard G. Cody-Former Concorde Investment Services & IFS Securities Broker-Sentenced for Fraud-Spring Lake, NJ
RIchard G. Cody-Former Concorde Investment Services & IFS Securities Broker-Sentenced for Fraud-Spring Lake, NJ 150 150 Robert Rex, Esq.

October 2020– Spring Lake, New Jersey According to publicly available records Richard G. Cody , (CRD# 2794558) ,  a  currently unregistered stockbroker who last worked for IFS Securities  , has numerous disclosures:  1 pending…

read more
  • Robert Rex, Esq.

Chad E. Thompson-Former IFS Securities Broker-Discloses Customer Dispute
Chad E. Thompson-Former IFS Securities Broker-Discloses Customer Dispute 150 150 Robert Rex, Esq.

July 2016 The FINRA records of Chad E. Thompson  , a currently unlicensed stockbroker who was last  employed by  IFS Securities  , disclose a final regulatory event and a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is…

read more
  • Robert Rex, Esq.

Antonio Costanzo-Former Newport Coast Securities Broker-Discloses Churning Complaint-Industry Bar
Antonio Costanzo-Former Newport Coast Securities Broker-Discloses Churning Complaint-Industry Bar 150 150 Robert Rex, Esq.

July 2016-Chesapeake, VA The FINRA records of Antonio Costanzo  , a former stock broker who was last employed by  TItus Rockefeller  , disclose a pending regulatory event, a prior final regulatory event, 8 prior customer disputes and a termination…

read more
  • Robert Rex, Esq.

Michael J. Hebner-Former Wunderlich Securities Broker-Discloses Pending Customer Dispute-Flint, MI
Michael J. Hebner-Former Wunderlich Securities Broker-Discloses Pending Customer Dispute-Flint, MI 150 150 Robert Rex, Esq.

Flint, Michigan According to FINRA records,  Michael J. Hebner,  a stockbroker  who currently works for IFS Securities ,  discloses  a pending customer dispute,  four prior final customer disputes and a termination. The Financial Industry Regulatory…

read more
Enter your
text here

You cannot copy content of this page