• Robert Rex, Esq.

Gerald Eaton-Former Commonwealth Broker Barred from FINRA-Terminated After Allegations of Forgery-Waltham, MA
Gerald Eaton-Former Commonwealth Broker Barred from FINRA-Terminated After Allegations of Forgery-Waltham, MA 150 150 Robert Rex, Esq.

June 2020- Waltham, MA The FINRA records of Gerald Allan Eaton  , a former stock broker who was last employed  by  Commonwealth Financial Network , disclose a regulatory event resulting in his bar from the securities…

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  • Robert Rex, Esq.

Bethel Fisher Discloses SEC Investigation and Customer Lawsuits
Bethel Fisher Discloses SEC Investigation and Customer Lawsuits 150 150 Robert Rex, Esq.

June 2020 Cedar Rapids based Berthel Fisher & Company Financial Services, Inc. discloses that the company is being investigated by the Securities and Exchange Commission (SEC) regarding whether the company …

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  • Robert Rex, Esq.

Charles Doraine-Former NEXT Financial Group Broker-Subject of Numerous Customer Suits-Corpus Christi, TX
Charles Doraine-Former NEXT Financial Group Broker-Subject of Numerous Customer Suits-Corpus Christi, TX 150 150 Robert Rex, Esq.

April 2021- Corpus Christi, Texas The FINRA records of  Charles L. Doraine ,  a  former stock broker who was last employed by NEXT Financial Group ,  disclose 2 prior regulatory matters and 7 prior…

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  • Robert Rex, Esq.

Anthony Joslin- Garden State SecuritiesBroker- Discloses 2 Regulatory Events, 5 Final Customer Disputes, a Pending Customer Dispute and a Termination- Red Banks, NJ
Anthony Joslin- Garden State SecuritiesBroker- Discloses 2 Regulatory Events, 5 Final Customer Disputes, a Pending Customer Dispute and a Termination- Red Banks, NJ 150 150 Robert Rex, Esq.

June  2020-Red Bank, NJ According to publicly available records. Anthony R. Joslin (CRD#2281191), a stockbroker employed with Garden State Securities, Inc.  discloses 2 regulatory events, 1 pending customer disputes,  7…

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  • Robert Rex, Esq.

Michael Kamperman-Former HD Vest Broker-Discloses Regulatory Event, Customer Disputes and a Tax Lien-Waco, TX
Michael Kamperman-Former HD Vest Broker-Discloses Regulatory Event, Customer Disputes and a Tax Lien-Waco, TX 150 150 Robert Rex, Esq.

May 2020-Waco, TX According to publicly available records of Michael Kamperman (CRD#2002603) ,  a  former stockbroker who last worked for HD Vest Investment Services  discloses  a regulatory event, customer disputes and…

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  • Robert Rex, Esq.

James D’Meo-Former Kenneth, Jerome & Co., Inc. Broker- Permanently Barred from FINRA
James D’Meo-Former Kenneth, Jerome & Co., Inc. Broker- Permanently Barred from FINRA 150 150 Robert Rex, Esq.

March 2020- Florham Park, NJ According to publicly available records.  James D. D’Meo, (CRD#1444759), a  former stockbroker who last worked for Kenneth, Jerome & Co., Inc.,  discloses 2 regulatory events,…

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  • Robert Rex, Esq.

Stock Market Losses? –How to Recover Investment Losses Resulting From the COVID 19 Pandemic
Stock Market Losses? –How to Recover Investment Losses Resulting From the COVID 19 Pandemic 150 150 Robert Rex, Esq.

April 2020 Retirees and Those Anticipating Retirement In the Near Term Financial advisors are charged with a duty to make “suitable recommendations” to their customers. For those anticipating retirement in…

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  • Robert Rex, Esq.

James Martin Lamont-Former Whitehall-Parker Securities Broker- Discloses Regulatory Events, $1.5M Customer Dispute Settlements and Tax Liens- Novato, CA
James Martin Lamont-Former Whitehall-Parker Securities Broker- Discloses Regulatory Events, $1.5M Customer Dispute Settlements and Tax Liens- Novato, CA 150 150 Robert Rex, Esq.

October 2020-San Francisco, CA The FINRA records of  James Martin Lamont ,  a  broker who was previously  employed by  Whitehall-Parker Securities  disclose 3 regulatory events, 10 settled customer disputes(which settled cumulatively,…

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  • Robert Rex, Esq.

Investigation of FSC Securities Broker Lee Kramer -West Palm Beach, FL/Frederick, MD
Investigation of FSC Securities Broker Lee Kramer -West Palm Beach, FL/Frederick, MD 150 150 Robert Rex, Esq.

October 2020- West Palm Beach, Florida/Frederick, Maryland We are investigating FSC Securities Corporation financial advisor Lee R. Kramer. According to publicly available records, Lee R. Kramer discloses 7 prior regulatory…

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  • Robert Rex, Esq.

Steven Netzel-Former Kalos Capital Broker-Discloses Pending $300K Customer Dispute-Sun Lakes, AZ
Steven Netzel-Former Kalos Capital Broker-Discloses Pending $300K Customer Dispute-Sun Lakes, AZ 150 150 Robert Rex, Esq.

February 2020 – Sun Lakes, AZ The FINRA records of Steven M. Netzel  , a stockbroker  who is currently not registered and who previously was employed by Kalos Capital , disclose  a currently pending…

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