Sanders Morris Harris complaint

  • Robert Rex, Esq.

Thomas Lykos, Jr.-Former Sanders Morris Harris Broker-Discloses Regulatory Event- Houston, TX
Thomas Lykos, Jr.-Former Sanders Morris Harris Broker-Discloses Regulatory Event- Houston, TX 150 150 Robert Rex, Esq.

May 2020-Houston, TX According to publicly available records Thomas J. Lykos, Jr.  a   stockbroker who was last employed by  Sanders Morris Harris  discloses a regulatory event and two outstanding judgment…

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  • Robert Rex, Esq.

Ronald A. Frumkes-Former Wunderlich Securities Broker-Discloses Settlement of Customer Suits
Ronald A. Frumkes-Former Wunderlich Securities Broker-Discloses Settlement of Customer Suits 150 150 Robert Rex, Esq.

April 2019- New York According to FINRA records,  Ronald A. Frumkes,  a stockbroker  who is not currently registered with any firm and  who last worked  for Wunderlich Securities ,  discloses  three prior…

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  • Robert Rex, Esq.

Humbert B. Powell-Wunderlich Securities Broker-Discloses Customer Dispute-NY
Humbert B. Powell-Wunderlich Securities Broker-Discloses Customer Dispute-NY 150 150 Robert Rex, Esq.

New York According to FINRA records,  Humbert B. Powell, III ,  a stockbroker  who works for Wunderlich Securities ,  discloses  a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates…

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