• Robert Rex, Esq.

Gregg Ferguson- Former LPL Financial Broker- Discloses Pending Customer Dispute & Regulatory Sanction -Bellville, TX
Gregg Ferguson- Former LPL Financial Broker- Discloses Pending Customer Dispute & Regulatory Sanction -Bellville, TX 150 150 Robert Rex, Esq.

Gregg Ferguson Investigation May 2022- Bellville, TX  According to publicly available records, Howell Gregory “Gregg” Ferguson, an LPL Financial broker discloses a regulatory sanction and a pending customer dispute. The…

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Todd Sivak- LPL Financial Broker- Discloses Pending Customer Dispute -Oconomowoc, WI
Todd Sivak- LPL Financial Broker- Discloses Pending Customer Dispute -Oconomowoc, WI 150 150 ER

Todd Sivak Investigation May 2022- Oconomowoc, WI According to publicly available records, Todd W. Sivak, an LPL Financial broker discloses pending customer dispute filed during his employment with MML Investors…

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Joffre Salazar- Former LPL Financial Broker- Discloses a Regulatory Event Involving Forgery and a Termination from Employment-Staten Island, NY
Joffre Salazar- Former LPL Financial Broker- Discloses a Regulatory Event Involving Forgery and a Termination from Employment-Staten Island, NY 150 150 ER

Joffre Salazar Investigaton April 2022- Staten Island, NY According to publicly available records,  Joffre Salazar,  a currently unregistered  financial advisor who previously was employed by LPL  Financial discloses a regulatory…

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  • Robert Rex, Esq.

Sanders Spangler Investigation-Former LPL Financial Broker-Barred From Securities Industry & Settles Customer Suits-San Antonio, TX
Sanders Spangler Investigation-Former LPL Financial Broker-Barred From Securities Industry & Settles Customer Suits-San Antonio, TX 150 150 Robert Rex, Esq.

Sanders Spangler Investigation November 2021-San Antonio, Texas The FINRA records of  Sanders L. Spangler ,   a  former stockbroker who was once employed by  LPL Financial  disclose a regulatory matter, 6 prior customer disputes…

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Eric Hollifield Investigation-Former LPL Financial Advisor Subject of $1.24 Million Suit-Ducala, GA
Eric Hollifield Investigation-Former LPL Financial Advisor Subject of $1.24 Million Suit-Ducala, GA 150 150 ER

Eric Hollifield Investigation November 2021-Ducala, GA According to FINRA records  Eric S. Hollifield, an unregistered financial advisor previously employed by LPL Financial discloses a multi-million dollar suit by a customer…

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Rhett Bedwell- Former LPL Financial Broker-Alleged Forgery Leads to Bar From Industry-Rogers, AR
Rhett Bedwell- Former LPL Financial Broker-Alleged Forgery Leads to Bar From Industry-Rogers, AR 150 150 ER

Rhett Bedwell Investigation November 2021- Rogers, AR  The FINRA records of  Rhett Bedwell ,  a  former financial advisor who was last employed by  LPL Financial disclose a regulatory event and three…

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  • Robert Rex, Esq.

Jason Poff-Allstate Financial Services-Discloses Customer Complaint & Suspension-Houston, TX
Jason Poff-Allstate Financial Services-Discloses Customer Complaint & Suspension-Houston, TX 150 150 Robert Rex, Esq.

September 2021- Houston, TX According to his FINRA record  Jason H. Poff , a financial advisor employed by Allstate Financial Services  discloses a final regulatory investigation resulting in suspension and…

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  • Robert Rex, Esq.

Enrique Lopez-Former LPL Financial Advisor-Subject of Customer Suits-McAllen, Texas
Enrique Lopez-Former LPL Financial Advisor-Subject of Customer Suits-McAllen, Texas 150 150 Robert Rex, Esq.

September 2021-McAllen, Texas The FINRA records of  Enrique Lopez,  a  broker who is currently employed by  Arkadios Capital  disclose 4 customer disputes . The Financial Industry Regulatory Authority (FINRA) is the agency…

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Raymond Velasco, Sr. -Former LPL Financial Broker- Discloses Regulatory Event, Customer Dispute and a Termination- Lisle, IL
Raymond Velasco, Sr. -Former LPL Financial Broker- Discloses Regulatory Event, Customer Dispute and a Termination- Lisle, IL 150 150 ER

August 2021- Lisle, IL According to publicly available records,  Raymond Velasco, Sr.,  a financial advisor who previously was employed by LPL Financial, discloses a regulatory event , a customer dispute and…

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  • Robert Rex, Esq.

Donald Stephen Woods-Former LPL Financial Broker-Discloses a Regulatory Event, 11 Settled Customer Disputes and 1 Pending Customer Disputes-Louisville, KY
Donald Stephen Woods-Former LPL Financial Broker-Discloses a Regulatory Event, 11 Settled Customer Disputes and 1 Pending Customer Disputes-Louisville, KY 150 150 Robert Rex, Esq.

July  2021– Louisville, KY The FINRA records of Donald Stephen Woods,  a former stockbroker  who was last employed  by  Thurston Springer Financial , disclose  a final regulatory event, 11 settled customer disputes and…

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