• Robert Rex, Esq.

William L. Baumner- Former Buckman, Buckman & Reid Broker-Has Multiple Customer Suits Involving Private Placements-Boca Raton, FL
William L. Baumner- Former Buckman, Buckman & Reid Broker-Has Multiple Customer Suits Involving Private Placements-Boca Raton, FL 150 150 Robert Rex, Esq.

William L. Baumner Investigation August 2022-Boca Raton, Florida According to FINRA records,  William L. Baumner, IV ,   a previously registered stockbroker who last worked for Tradespot Markets and  Buckman, Buckman & Reid   discloses  a…

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  • Robert Rex, Esq.

Roger Kroeger-Former Invest Financial Broker-Discloses Criminal Suit & Termination-Ft. Lauderdale, FL
Roger Kroeger-Former Invest Financial Broker-Discloses Criminal Suit & Termination-Ft. Lauderdale, FL 150 150 Robert Rex, Esq.

January 2019- Ft. Lauderdale, FL According to publicly available records Roger Kroeger, (CRD# 1526864) ,  a  previously registered stockbroker who was last employed by Invest Financial Corporation, disclose a regulatory event,…

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  • Robert Rex, Esq.

William D. Byrd-Former Transamerica Broker-Discloses Customer Disputes-Tampa, FL
William D. Byrd-Former Transamerica Broker-Discloses Customer Disputes-Tampa, FL 150 150 Robert Rex, Esq.

May 2017-Tampa, FL The FINRA records of  William D. Byrd ,  a  stockbroker who is currently registered with Capital Financial Services disclose a pending customer dispute and 3 prior final customer disputes. The Financial Industry…

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  • Robert Rex, Esq.

Clyde D. Jones-Titan Securities Broker-Discloses Customer Disputes Over Viatical Settlements-Whitesboro, Texas
Clyde D. Jones-Titan Securities Broker-Discloses Customer Disputes Over Viatical Settlements-Whitesboro, Texas 150 150 Robert Rex, Esq.

MAY 2018 UPDATE–See this for update.  ORIGINAL POST-April 2017-Whitesboro, Texas The FINRA records of  Clyde D. Jones ,  a   stockbroker who is currently registered with Titan Securities disclose 2 pending customer disputes, 2…

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  • Robert Rex, Esq.

David L. Hannett Sr.-Invest Financial Broker-Discloses $5M Customer Dispute
David L. Hannett Sr.-Invest Financial Broker-Discloses $5M Customer Dispute 150 150 Robert Rex, Esq.

Vienna, VA According to FINRA records,  David L. Hannett, Sr. ,  a stockbroker  who works  for Invest Financial Corp. discloses  a pending customer dispute . The Financial Industry Regulatory Authority (FINRA) is the agency that licenses…

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  • Robert Rex, Esq.

Stockbroker Leavitt Sanders has 53 Customer Complaints- Invest Financial Corporation/ Triad -West Point, Georgia
Stockbroker Leavitt Sanders has 53 Customer Complaints- Invest Financial Corporation/ Triad -West Point, Georgia 150 150 Robert Rex, Esq.

February 2019- West Point, Georgia We are investigating Leavitt F. Sanders,  of Leavitt Financial Group, who was a registered stockbroker with the following broker dealers. He is not currently registered…

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