Raymond James Financial complaint

  • Robert Rex, Esq.

J.J. Heaton-Former Merrill Lynch Broker-Discloses Customer Dispute Over Annuity Purchase
J.J. Heaton-Former Merrill Lynch Broker-Discloses Customer Dispute Over Annuity Purchase 150 150 Robert Rex, Esq.

August  2016-The Villages, Florida The FINRA records of J.J. Heaton ,  a  stock broker who is currently employed by Raymond James & Assoc. , disclose a pending customer dispute brought by a customer of Merrill Lynch,  Heaton’s prior employer.…

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  • Robert Rex, Esq.

Rhonda J. Matthews-Former Prospera Financial Broker-Discloses Suspension
Rhonda J. Matthews-Former Prospera Financial Broker-Discloses Suspension 150 150 Robert Rex, Esq.

Austin, Texas According to FINRA records,  Rhonda Janeen Matthews (aka Rhonda Allen)  ,  a former stockbroker  who most recently worked  for Prospera Financial Services , discloses  a  regulatory event, a termination and 2 outstanding…

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  • Robert Rex, Esq.

Michael M. Hurtgen-Former Raymond James Broker-Discloses Discharge
Michael M. Hurtgen-Former Raymond James Broker-Discloses Discharge 150 150 Robert Rex, Esq.

Greenwood, CO According to FINRA records,  Michael M. Hurtgen ,   a stock broker currently  employed by Girard Securities , discloses a termination from prior employment. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and…

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  • Robert Rex, Esq.

Jeremy J McGilvrey-Former NEXT Financial Broker Claims he Has Paid Restitution to Fraud Victims-San Antonio
Jeremy J McGilvrey-Former NEXT Financial Broker Claims he Has Paid Restitution to Fraud Victims-San Antonio 150 150 Robert Rex, Esq.

San Antonio, Texas August 6, 2015 KENS 5 Eyewitness News of San Antonio reports that Jeremy James McGilvrey claimed in an interview last month that he has paid restitution to…

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