• Robert Rex, Esq.

Floyd Powell-Former MML Investors Services Broker- Discloses Regulatory Event & 5 Customer Disputes-Albertville, AL
Floyd Powell-Former MML Investors Services Broker- Discloses Regulatory Event & 5 Customer Disputes-Albertville, AL 150 150 Robert Rex, Esq.

April 2019 – Albertville, AL According to publicly available records Floyd Earl Powell  (CRD#2220029) ,  a  stockbroker who is currently not registered,  discloses a regulatory event, 2 pending and 3 final…

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  • Robert Rex, Esq.

Kelley Ranae Jones Sentenced to 3 Years for Embezzlement From Arrowhead Bank-Llano, Texas
Kelley Ranae Jones Sentenced to 3 Years for Embezzlement From Arrowhead Bank-Llano, Texas 150 150 Robert Rex, Esq.

April 2019- Llano, Texas The US Attorney’s Office for the Western District of Texas announced that 45 year old Kelley Ranae Jones was sentenced to three years in federal prison…

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  • Robert Rex, Esq.

Richard Ragold-Capitol Securities Management Broker-Discloses Customer Disputes-Florsham Park, NJ
Richard Ragold-Capitol Securities Management Broker-Discloses Customer Disputes-Florsham Park, NJ 150 150 Robert Rex, Esq.

January 2020 – Florsham Park, NJ According to publicly available records Richard Thomas Ragold   (CRD#1808168) ,  a  stockbroker who is currently registered with Capitol Securities Management, Inc.,  disclose 2 settled…

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  • Robert Rex, Esq.

Phillip Johnson- Former SunTrust Investments Services Broker- Discloses 4 Regulatory Events, 2 Customer Disputes and a Termination- Kingwood, TX
Phillip Johnson- Former SunTrust Investments Services Broker- Discloses 4 Regulatory Events, 2 Customer Disputes and a Termination- Kingwood, TX 150 150 Robert Rex, Esq.

April  2019 – Kingwood, TX According to publicly available records  Phillip Andrew Johnson (CRD# 501352) ,  a  former stockbroker who was last  employed by D.H. Hills Securities,  disclose 4 regulatory events, 2…

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  • Robert Rex, Esq.

Steven Knuttila-Former Capital Financial Services Broker-Discloses 2 Regulatory Events, 23 Customer Suits and a Termination-Perham, MN
Steven Knuttila-Former Capital Financial Services Broker-Discloses 2 Regulatory Events, 23 Customer Suits and a Termination-Perham, MN 150 150 Robert Rex, Esq.

September  2019 – Perham, MN CAPITAL FINANCIAL SERVICES CLOSING DOWN FIRM–see this for more information about the closing down of the firm and transfer of accounts to Calton & Associates. …

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  • Robert Rex, Esq.

Jody Bowers-Former SagePoint Financial Broker-Subject of $6M Customer Suit Over ETF Investments-Abilene, TX
Jody Bowers-Former SagePoint Financial Broker-Subject of $6M Customer Suit Over ETF Investments-Abilene, TX 150 150 Robert Rex, Esq.

June 2019- Abilene, Texas We are currently investigating former SagePoint Financial financial advisor Jody Bowers on behalf of an elderly widow living in North Texas, who anticipates filing a FINRA…

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  • Robert Rex, Esq.

Robert Berg-Summit Brokerage Services Broker-Discloses Customer Dispute Alleging Aggressive Trading- Danbury, CT
Robert Berg-Summit Brokerage Services Broker-Discloses Customer Dispute Alleging Aggressive Trading- Danbury, CT 150 150 Robert Rex, Esq.

March 2019 – Danbury, CT According to publicly available records  Robert Eugene Berg   (CRD#1218879) ,  a  stockbroker who is currently registered with Summit Brokerage Services,  disclose 1 pending and 2 prior customer disputes.…

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  • Robert Rex, Esq.

Raymond Clark – Woodstock Financial Group Broker- Discloses Customer Disputes-Staten Island, NY
Raymond Clark – Woodstock Financial Group Broker- Discloses Customer Disputes-Staten Island, NY 150 150 Robert Rex, Esq.

January 2019-Staten Island, NY According to publicly available records  Raymond William Clark , a  stockbroker who is currently registered with Woodstock Financial Group,  disclose 8 prior customer disputes and a termination from…

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