• Robert Rex, Esq.

Christopher R. Hickman-Former Cetera Advisors Broker-Discloses Settlement of Customer Disputes-Delray Beach, FL
Christopher R. Hickman-Former Cetera Advisors Broker-Discloses Settlement of Customer Disputes-Delray Beach, FL 150 150 Robert Rex, Esq.

June 2017-Delray Beach, FL The FINRA records of  Christopher R. Hickman ,  a  former stockbroker who was last employed as a broker by Cetera Advisors and who is not currently registered, disclose…

read more
  • Robert Rex, Esq.

William D. Byrd-Former Transamerica Broker-Discloses Customer Disputes-Tampa, FL
William D. Byrd-Former Transamerica Broker-Discloses Customer Disputes-Tampa, FL 150 150 Robert Rex, Esq.

May 2017-Tampa, FL The FINRA records of  William D. Byrd ,  a  stockbroker who is currently registered with Capital Financial Services disclose a pending customer dispute and 3 prior final customer disputes. The Financial Industry…

read more
  • Robert Rex, Esq.

Steven E. Blanke-Capital Financial Services Broker-Discloses Customer Disputes-Garland, TX
Steven E. Blanke-Capital Financial Services Broker-Discloses Customer Disputes-Garland, TX 150 150 Robert Rex, Esq.

May 2017-Garland, TX The FINRA records of  Steven Earle Blanke ,  a  stockbroker who is currently registered with Capital Financial Services disclose a pending customer dispute, a prior final customer dispute and a prior financial event.…

read more
  • Robert Rex, Esq.

Marie P. Goforth-Former LPL Financial Broker-Discloses Sanction by Texas Regulator-San Antonio, TX
Marie P. Goforth-Former LPL Financial Broker-Discloses Sanction by Texas Regulator-San Antonio, TX 150 150 Robert Rex, Esq.

May 2017-San Antonio, TX The FINRA records of  Marie P. Goforth  ,  a  stockbroker who is currently  employed  by Capital Financial Service   disclose  2 prior customer disputes and a termination from employment. The…

read more
  • Robert Rex, Esq.

Billy Jack Cowan-Former Raymond James Broker-Discloses Customer Dispute & Termination From Employment-Norman, OK
Billy Jack Cowan-Former Raymond James Broker-Discloses Customer Dispute & Termination From Employment-Norman, OK 150 150 Robert Rex, Esq.

May 2017-Norman, OK The FINRA records of  Billy Jack Cowan  ,  a  former stockbroker who is not currently  registered disclose  a regulatory event, 2 prior customer disputes, 2 terminations from employment and 8…

read more
  • Robert Rex, Esq.

William Blair and Company to Pay $4.5 Million Fine to Regulator
William Blair and Company to Pay $4.5 Million Fine to Regulator 150 150 Robert Rex, Esq.

MAY 2017 According to the U.S. Securities and Exchange Commission, Chicago based brokerage firm William Blair and Company will pay $4.5 million to settle charges that mutual fund assets were…

read more
  • Robert Rex, Esq.

SEC Shuts Down LottoNet Boiler Room-Pompano Beach, FL
SEC Shuts Down LottoNet Boiler Room-Pompano Beach, FL 150 150 Robert Rex, Esq.

March 2017 The U.S. Securities and Exchange Commission announced the filing of a complaint against Florida based LottoNet Operating Corp. , its CEO David Gray and Joseph A. Vitale, a…

read more
  • Robert Rex, Esq.

John W. Rafal-Essex Financial Former President/CEO-Sentenced
John W. Rafal-Essex Financial Former President/CEO-Sentenced 150 150 Robert Rex, Esq.

February 2018 update. Link to Rafal’s official FINRA record which discloses 3 final regulatory events, one final criminal proceeding, a customer dispute and a termination from employment. The U.S. Attorney’s Office for…

read more
  • Robert Rex, Esq.

Terrell Lady-Former VSR Financial Services Broker-Discloses Settlement of Alt Investment-Williamsburg, VA
Terrell Lady-Former VSR Financial Services Broker-Discloses Settlement of Alt Investment-Williamsburg, VA 150 150 Robert Rex, Esq.

April 2017-Williamsburg, VA The FINRA records of  Terrell Calvin Lady ,  a  stockbroker who is currently  employed by  DFPG Investments  disclose a prior final customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…

read more
  • Robert Rex, Esq.

Robert Hudson-Former VSR Financial Services Broker-Discloses Customer Dispute Over Annuity Purchase-Essex Junction, VT
Robert Hudson-Former VSR Financial Services Broker-Discloses Customer Dispute Over Annuity Purchase-Essex Junction, VT 150 150 Robert Rex, Esq.

April 2017-Essex Junction, VT The FINRA records of  Robert J. Hudson, Jr.  ,  a  stockbroker who is currently  employed by  Summit Brokerage Services  disclose 2 prior regulatory events, a pending customer dispute, a prior…

read more
Enter your
text here

You cannot copy content of this page