• Robert Rex, Esq.

Kyusun Kim-Former Independent Financial Group Broker-Barred from FINRA-Discloses 19 Settled Customer Suits- Greenville, SC
Kyusun Kim-Former Independent Financial Group Broker-Barred from FINRA-Discloses 19 Settled Customer Suits- Greenville, SC 150 150 Robert Rex, Esq.

June 2019- Greenville, SC According to publicly available records, former Independent Financial and Sandlapper Securities  financial advisor Kyusun Kim,  discloses 19 settled and 4 pending customer disputes  and a termination…

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  • Robert Rex, Esq.

Craig Bonn-Former Laidlaw & Company Broker-Discloses Customer Disputes- New York
Craig Bonn-Former Laidlaw & Company Broker-Discloses Customer Disputes- New York 150 150 Robert Rex, Esq.

June 2019 – New York According to publicly available records, a former Laidlaw & Company financial advisor, Craig A. Bonn discloses 1 pending and 2 prior customer disputes. The Financial Industry…

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  • Robert Rex, Esq.

Dion Padilla Investigation-Former NEXT Financial Group Broker-Settles Several Customer Suits Involving Annuities-San Antonio, TX
Dion Padilla Investigation-Former NEXT Financial Group Broker-Settles Several Customer Suits Involving Annuities-San Antonio, TX 150 150 Robert Rex, Esq.

May 2019 -San Antonio, Texas According to publicly available records Dion Rey Padilla ,  a  stockbroker who formerly worked for NEXT Financial ,  disclose a prior regulatory suspension and five…

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  • Robert Rex, Esq.

Maria Hendershott-Raymond James Financial Advisor-Discloses Numerous Customer Suits-Houston, Texas
Maria Hendershott-Raymond James Financial Advisor-Discloses Numerous Customer Suits-Houston, Texas 150 150 Robert Rex, Esq.

October 2019- Houston, Texas According to publicly available records Maria E. Hendershott (CRD#818681) , a  stockbroker who is currently registered Raymond James & Associates,  disclose 1 pending and 4 final customer…

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  • Robert Rex, Esq.

Mark Tudor-Fired by Raymond James-Barred From Securities Industry-Lake Mary, FL
Mark Tudor-Fired by Raymond James-Barred From Securities Industry-Lake Mary, FL 150 150 Robert Rex, Esq.

May 2019, Lake Mary, Florida According to publicly available records Mark Andrew Tudor  ,  a  former stockbroker who last worked for Raymond James Financial  ,  disclose a recent regulatory event…

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  • Robert Rex, Esq.

Robert Batchen-Former Uhlmann Price Securities Broker-Discloses a Regulatory Event, Customer Suits and Terminations from Employment-Chicago, IL
Robert Batchen-Former Uhlmann Price Securities Broker-Discloses a Regulatory Event, Customer Suits and Terminations from Employment-Chicago, IL 150 150 Robert Rex, Esq.

June 2019 – Skokie, IL According to publicly available records, former Uhlmann Price Securities  broker Robert James Batchen discloses  prior  regulatory events, 4 prior customer disputes and 2 terminations from…

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  • Robert Rex, Esq.

Anselmo Contreras, Jr.-Former Cambridge Investment Financial Advisor-Barred From Securities Industry-Angleton, Texas
Anselmo Contreras, Jr.-Former Cambridge Investment Financial Advisor-Barred From Securities Industry-Angleton, Texas 150 150 Robert Rex, Esq.

May 2019 – Angleton, Texas According to publicly available records, former Cambridge Investment Research  financial advisor Anselmo Contreras, Jr.  discloses a recent regulatory event resulting in his bar from the…

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  • Robert Rex, Esq.

Kevin R. Wilson-Former Laidlaw & Co. Financial Advisor-Subject of Millions in Claims for Private Placement Losses-New York
Kevin R. Wilson-Former Laidlaw & Co. Financial Advisor-Subject of Millions in Claims for Private Placement Losses-New York 150 150 Robert Rex, Esq.

April 2021 – New York According to publicly available records, former Laidlaw & Company financial advisor Kevin R. Wilson discloses 7 pending customer disputes and 4 prior customer disputes, all…

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  • Robert Rex, Esq.

Laidlaw & Company Discloses Regulatory Matters & Customer Disputes
Laidlaw & Company Discloses Regulatory Matters & Customer Disputes 150 150 Robert Rex, Esq.

May 2019 According to publicly available records  Laidlaw & Company (UK) Ltd.  , a FINRA registered broker dealer discloses 5 prior regulatory events and 2 prior customer arbitrations. The Financial…

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