• 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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  • Robert Rex, Esq.

Cardinal Energy Group Investors May Have Been Misled & Have Claims for Recovery
Cardinal Energy Group Investors May Have Been Misled & Have Claims for Recovery 150 150 Robert Rex, Esq.

May 2019 – Dallas, Texas In March 2019, the Securities and Exchange Commission charged Texas based Cardinal Energy Group (CEGX) and former CEO Timothy W. Crawford with fraudulently concealing the…

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  • Robert Rex, Esq.

Losses on UBS Yield Enhancement Strategy? (UBS YES)- How to Recover Damages
Losses on UBS Yield Enhancement Strategy? (UBS YES)- How to Recover Damages 150 150 Robert Rex, Esq.

February 2020 Investors who have suffered losses as a result of investing in the UBS Yield Enhancement Strategy program (UBS YES Trading Program) may be able to recover damages through…

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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.

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.

Richard Bernstein-Wells Fargo Broker-Dislcoses 2 Pending & 6 Final Customer Disputes-Incline Village, NV
Richard Bernstein-Wells Fargo Broker-Dislcoses 2 Pending & 6 Final Customer Disputes-Incline Village, NV 150 150 Robert Rex, Esq.

March 2019 – Incline Village, NV According to publicly available records  Richard Jay Bernstein  (CRD# 1113777) ,  a   registered stockbroker currently employed by Wells Fargo Clearing Services,  disclose 2 pending and 6…

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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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