• Robert Rex, Esq.

Mark Sitter-Former Capital FInancial Services Broker-Discloses $500K Pending Customer Dispute- Shenandoah, TX
Mark Sitter-Former Capital FInancial Services Broker-Discloses $500K Pending Customer Dispute- Shenandoah, TX 150 150 Robert Rex, Esq.

October 2020- Shenandoah, TX According to publicly available records,  Mark Sitter (CRD#1810591), a  stockbroker formerly employed by Capital Financial Services, discloses a pending customer dispute and 3 prior customer disputes.…

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  • Robert Rex, Esq.

Jesse Webb-Oppenheimer & Co. Broker-Discloses Regulatory Event, 3 Settled Customer Disputes and a Termination-The Woodlands, TX
Jesse Webb-Oppenheimer & Co. Broker-Discloses Regulatory Event, 3 Settled Customer Disputes and a Termination-The Woodlands, TX 150 150 Robert Rex, Esq.

October 2020-The Woodlands, TX According to publicly available records of Jesse Webb (CRD#2298761) ,  a  stockbroker with Oppenheimer & Co. lnc., discloses  a final regulatory event , 3 settled customer disputes…

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  • Robert Rex, Esq.

Peter D Nett-Ameriprise Broker- Discloses Pending Customer Dispute-The Woodlands, TX
Peter D Nett-Ameriprise Broker- Discloses Pending Customer Dispute-The Woodlands, TX 150 150 Robert Rex, Esq.

October  2020- The Woodlands, TX According to publicly available records, Peter Dieter Nett (CRD#4506990), a stockbroker employed with Ameriprise Financial Services, Inc.,  disclose a recently filed customer dispute. The Financial…

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  • Robert Rex, Esq.

Stefan Pastor-Former Raymond James Broker-Barred From Securities Industry-Ft. Lauderdale, FL
Stefan Pastor-Former Raymond James Broker-Barred From Securities Industry-Ft. Lauderdale, FL 150 150 Robert Rex, Esq.

October 2020- Hollywood, FL According to publicly available records.  Stefan Anton Pastor, (CRD#5141819), a  former stockbroker who last worked for Raymond James Financial Services, Inc.,  discloses a regulatory event, 2…

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  • Robert Rex, Esq.

Thomas W. Molteni-Former J.Alden Assoc. Broker-Discloses Regulatory Event and Tax Liens-Jenkintown, PA
Thomas W. Molteni-Former J.Alden Assoc. Broker-Discloses Regulatory Event and Tax Liens-Jenkintown, PA 150 150 Robert Rex, Esq.

October 2020- Jenkintown, PA According to publicly available records of Thomas W. Molteni  (CRD#1022911) ,  a  former stockbroker who last worked for J. Alden Associates, Inc.,  discloses  a regulatory event and …

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  • Robert Rex, Esq.

Edward Earl Matthes-Former Mutual of Omaha Investment Services, Inc. Broker-Barred from Securities Industry for Alleged Theft-Oconomowoc, WI
Edward Earl Matthes-Former Mutual of Omaha Investment Services, Inc. Broker-Barred from Securities Industry for Alleged Theft-Oconomowoc, WI 150 150 Robert Rex, Esq.

October 2020- Oconomowoc, WI According to publicly available records, former Mutual of Omaha Investor Services, Inc.,   financial advisor Edward Earl Matthes ,  discloses 5 regulatory events, a civil event, 15 prior…

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  • Robert Rex, Esq.

Daryl Serizawa-Woodbury Financial Broker- Discloses $350K Customer Dispute-Irvine, CA
Daryl Serizawa-Woodbury Financial Broker- Discloses $350K Customer Dispute-Irvine, CA 150 150 Robert Rex, Esq.

October 2020- Irvine, CA According to publicly available records, Daryl Tomobu Serizawa, a Woodbury Financial Services, Inc.  broker discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…

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  • Robert Rex, Esq.

Robert Nordaune-Former Thrivent Investment Broker-Discloses Regulatory Event and Termination-Montevideo, MN
Robert Nordaune-Former Thrivent Investment Broker-Discloses Regulatory Event and Termination-Montevideo, MN 150 150 Robert Rex, Esq.

October 2020- Montevideo, MN According to publicly available records Robert Nordaune (CRD#2313216), a  former stockbroker who last worked for Thrivent Investment, Inc.,  discloses a regulatory event and a termination from…

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  • Robert Rex, Esq.

Andrew “Andy” Grant- Laidlaw & Co. Broker- Discloses Regulatory Event- Melville, NY
Andrew “Andy” Grant- Laidlaw & Co. Broker- Discloses Regulatory Event- Melville, NY 150 150 Robert Rex, Esq.

October  2020- Red Bank, NJ According to publicly available records Andrew “Andy” Grant (CRD#2709882), a stockbroker employed with  Laidlaw & Company,  discloses a regulatory event. The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Stanley Secor-Former Cetera Financial Advisor-Permanently Barred from FINRA-Discloses, Investigation and Termination-Salt Lake City, UT
Stanley Secor-Former Cetera Financial Advisor-Permanently Barred from FINRA-Discloses, Investigation and Termination-Salt Lake City, UT 150 150 Robert Rex, Esq.

October 2020- Salt Lake City, UT According to publicly available records, former Cetera Advisor Networks,  financial advisor Stanley B. Secor,  has been barred from the securities industry by  FINRA and…

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