• ER

Todd Phillips -Former Moloney Securities Broker-Suspended by FINRA-Gilbert, AZ
Todd Phillips -Former Moloney Securities Broker-Suspended by FINRA-Gilbert, AZ 150 150 ER

August  2021 – Gilbert, AZ According to publicly attained records, David “Todd” Phillips, a stockbroker who is not currently registered  and who was last employed by Moloney Securities, Co., Inc. ,…

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  • Robert Rex, Esq.

Tom Till-Former ProEquities Broker-Discloses Settlement of Customer Dispute Involving Alternative Investments-Friendswood, TX
Tom Till-Former ProEquities Broker-Discloses Settlement of Customer Dispute Involving Alternative Investments-Friendswood, TX 150 150 Robert Rex, Esq.

May 2018- Friendswood, TX According to FINRA records,  Thomas  “Tom” A. Till ,  a stock broker who  is not currently registered and who last was employed in the industry by ProEquities Inc. , discloses the…

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  • Robert Rex, Esq.

Bradley Freimark-Former ProEquities Broker-Subject of 25 Customer Disputes-Ostego, MN
Bradley Freimark-Former ProEquities Broker-Subject of 25 Customer Disputes-Ostego, MN 150 150 Robert Rex, Esq.

May 2018- Otsego, MN According to FINRA records,  Bradley J. Freimark ,  a stock broker who  is not currently registered and who last was employed in the industry by ProEquities Inc. , discloses 19 prior customer…

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  • Robert Rex, Esq.

Ronald D. Clark-Summit Brokerage Services Broker-Discloses Pending Customer Disputes Involving REIT/Oil & Gas -Tampa, FL
Ronald D. Clark-Summit Brokerage Services Broker-Discloses Pending Customer Disputes Involving REIT/Oil & Gas -Tampa, FL 150 150 Robert Rex, Esq.

March 2018 – Tampa, FL According to publicly available records , Ronald D. Clark , (CRD# 1086724) ,  a  stockbroker who is employed by Summit Brokerage Services,  disclose  2 prior regulatory events, 2 pending customer…

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  • Robert Rex, Esq.

Robert K Smith- Former Berthel Fisher Broker-Discloses Customer Disputes- Mobile, Alabama
Robert K Smith- Former Berthel Fisher Broker-Discloses Customer Disputes- Mobile, Alabama 150 150 Robert Rex, Esq.

UPDATE MARCH 2017-In  April 2016 Robert K. Smith was suspended by FINRA for three. The suspension was lifted July 12, 2016.  Smith currently discloses a total of 13 prior customer…

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