• Robert Rex, Esq.

Vicente Davila-Former Morgan Stanley Broker-Discloses Sanction/Customer Complaint/Discharged From Employment-Houston, TX
Vicente Davila-Former Morgan Stanley Broker-Discloses Sanction/Customer Complaint/Discharged From Employment-Houston, TX 150 150 Robert Rex, Esq.

March 2019- Houston, TX The FINRA records of Vicente Davila, a former stockbroker who was last employed by Morgan Stanley , disclose a recent regulatory sanction, a recently resolved customer dispute,  and a…

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  • Robert Rex, Esq.

Christopher L. Hibbard-Former Merrill Lynch Broker-Accused of Theft by 8 Customers-Louisville, KY
Christopher L. Hibbard-Former Merrill Lynch Broker-Accused of Theft by 8 Customers-Louisville, KY 150 150 Robert Rex, Esq.

August 2018-Louisville, KY Christopher Lee Hibbard  was recently discharged from Merrill Lynch where he had been employed since 7/2010.  In April 2018 the US Attorney’s office for the Western District…

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  • Robert Rex, Esq.

Todd D. Ryman -Suntrust Investment Services Broker-Discloses Customer Disputes-Atlanta, GA
Todd D. Ryman -Suntrust Investment Services Broker-Discloses Customer Disputes-Atlanta, GA 150 150 Robert Rex, Esq.

June 2017 – Atlanta, GA The FINRA records of Todd D. Ryman ,  a  stockbroker previously employed with  Raymond James & Associates, Inc.  disclose  a prior regulatory matter and 6 customer disputes. The…

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  • Robert Rex, Esq.

Jill Cody (Tramontano)-Former Concorde Investment Services Broker-Barred From Securities Industry-Spring Lake, NJ
Jill Cody (Tramontano)-Former Concorde Investment Services Broker-Barred From Securities Industry-Spring Lake, NJ 150 150 Robert Rex, Esq.

September 2017 According to publicly available records Jill M. Cody , (CRD# 4333419) ,  a  former stockbroker who last worked for Concorde Investment Services  , has numerous disclosures:  1 prior regulatory events 8…

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  • Robert Rex, Esq.

Patrick C. Gugliotta-Former K.C. Ward Broker-Discloses Pending Customer Dispute
Patrick C. Gugliotta-Former K.C. Ward Broker-Discloses Pending Customer Dispute 150 150 Robert Rex, Esq.

July 2016-Ronkonkoma, NY According to publicly available records Patrick C. Gugliotta  , (CRD# 5033421) ,  a   stockbroker who was formerly employed by K.C. Ward Financial, discloses a  pending customer dispute. The Financial Industry…

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  • Robert Rex, Esq.

Merrill Lynch Fined $7M Over Leveraged Management Account Inadequacies
Merrill Lynch Fined $7M Over Leveraged Management Account Inadequacies 150 150 Robert Rex, Esq.

November 2016- New York Merrill Lynch was fined $7 million by the Financial Industry Regulatory Authority (FINRA) for inadequately supervising the use of leverage (margin) in customer accounts. Merrill Loan…

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  • Robert Rex, Esq.

James E. Mahan-Former Raymond James Broker-Sanctioned by Securities Regulator-New Braunfels, TX
James E. Mahan-Former Raymond James Broker-Sanctioned by Securities Regulator-New Braunfels, TX 150 150 Robert Rex, Esq.

August 2016-New Braunfels, Texas The FINRA records of  James E. Mahan,  a  former stockbroker who most recently worked for Raymond James Financial Services  disclose a recent regulatory matter resulting in his permanent…

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