• Robert Rex, Esq.

Steven P. Sappington-G.A. Repple Broker-Discloses Financial Events and Customer Dispute-Waco, TX
Steven P. Sappington-G.A. Repple Broker-Discloses Financial Events and Customer Dispute-Waco, TX 150 150 Robert Rex, Esq.

April 2017-Waco, Texas The FINRA records of  Steven P. Sappington ,  a  stockbroker who is currently registered with G.A. Repple disclose a  prior customer dispute, 3 pending financial events and 2 prior financial events.…

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  • Robert Rex, Esq.

Michelle D. Drake-Former Rhodes Securities Broker-Discloses Discharge From Employment-Colleyville, TX
Michelle D. Drake-Former Rhodes Securities Broker-Discloses Discharge From Employment-Colleyville, TX 150 150 Robert Rex, Esq.

April 2017-Colleyville, Texas The FINRA records of  Michelle Diane Drake ,  a  stockbroker who is currently  registered with   Prospera Financial Services  disclose a termination from employment. The Financial Industry Regulatory Authority (FINRA) is the…

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  • Robert Rex, Esq.

Thomas W. Bodensteiner-Former VSR Financial Services Stockbroker-Discloses Customer Dispute Over UDF-Clear Lake, IA
Thomas W. Bodensteiner-Former VSR Financial Services Stockbroker-Discloses Customer Dispute Over UDF-Clear Lake, IA 150 150 Robert Rex, Esq.

April 2017-Clear Lake, IA The FINRA records of  Thomas W. Bodensteiner ,  a  stockbroker who was formerly  employed by  VSR Financial Services  disclose a pending customer dispute over an investment in United Development…

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  • Robert Rex, Esq.

Daniel C. Stewart-Former VSR Financial Services Broker-Discloses Customer Dispute-Shawnee, KS
Daniel C. Stewart-Former VSR Financial Services Broker-Discloses Customer Dispute-Shawnee, KS 150 150 Robert Rex, Esq.

April 2017-Shawnee, KS The FINRA records of  Daniel C. Stewart ,  a  stockbroker who was formerly  employed by  VSR Financial Services  disclose a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…

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  • Robert Rex, Esq.

Christopher A. Knutson-Aegis Capital Broker-Discloses Settlement of Customer Suit
Christopher A. Knutson-Aegis Capital Broker-Discloses Settlement of Customer Suit 150 150 Robert Rex, Esq.

April 2017- Melville, NY According to publicly available records Christopher A. Knutson , (CRD# 2997006) ,  a  stockbroker who is currently registered with Aegis Capital Corp.  discloses settlement of a customer dispute. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Jeffrey L. Offen-Craft Capital Management Broker-Discloses Customer Disputes & Judgements-Garden City, NY
Jeffrey L. Offen-Craft Capital Management Broker-Discloses Customer Disputes & Judgements-Garden City, NY 150 150 Robert Rex, Esq.

February 2019- Garden City, NY According to publicly available records Jeffrey L. Offen  , (CRD# 2893980) ,  a  stockbroker who is not currently employed as a stockbroker and who was last employed by  Craft Capital…

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  • Robert Rex, Esq.

Kris Etter-IMS Securities Broker-Discloses Customer Arbitration Over REIT Investment-Houston, TX
Kris Etter-IMS Securities Broker-Discloses Customer Arbitration Over REIT Investment-Houston, TX 150 150 Robert Rex, Esq.

April 2017- Grapevine, TX According to publicly available records Kristopher F. Etter  , (CRD# 4562123) ,  a  stockbroker who is currently registered with IMS Securities  discloses a pending   customer dispute.  The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Nghi Thanh Ho -IMS Securities Broker-Discloses Customer Dispute- Houston, TX
Nghi Thanh Ho -IMS Securities Broker-Discloses Customer Dispute- Houston, TX 150 150 Robert Rex, Esq.

April 2017 – Houston, TX According to publicly available records Nghi Thanh Ho,  (CRD#2327672) ,  a  stockbroker who is currently registered with IMS Securities  discloses one pending customer dispute and a separation from employment.  The Financial Industry…

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  • Robert Rex, Esq.

RIchard G. Cody-Former Concorde Investment Services & IFS Securities Broker-Sentenced for Fraud-Spring Lake, NJ
RIchard G. Cody-Former Concorde Investment Services & IFS Securities Broker-Sentenced for Fraud-Spring Lake, NJ 150 150 Robert Rex, Esq.

October 2020– Spring Lake, New Jersey According to publicly available records Richard G. Cody , (CRD# 2794558) ,  a  currently unregistered stockbroker who last worked for IFS Securities  , has numerous disclosures:  1 pending…

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  • Robert Rex, Esq.

Austin Attorney and Partner Plead Guilty to Investment Fraud
Austin Attorney and Partner Plead Guilty to Investment Fraud 150 150 Robert Rex, Esq.

April 2017-Austin, Texas The US Attorney’s Office for the Western District of Texas announced that Austin residents Robert Allen Helms and Janniece S. Kaelin pleaded guilty to federal charges of…

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