• Robert Rex, Esq.

Justin Montandon-Ameriprise Broker-Discloses Regulatory Event and 2 Customer Disputes-Austin, TX
Justin Montandon-Ameriprise Broker-Discloses Regulatory Event and 2 Customer Disputes-Austin, TX 150 150 Robert Rex, Esq.

January  2019 – Austin, TX According to public records of Justin  A. Montandon  (CRD#4455879)  a  stockbroker employed by Ameriprise Financial Services, Inc., discloses a regulatory event, a customer dispute settlement. The…

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  • Robert Rex, Esq.

Omar Richardson-Charles Schwab Broker-Discloses Pending Customer Suit-Austin, TX
Omar Richardson-Charles Schwab Broker-Discloses Pending Customer Suit-Austin, TX 150 150 Robert Rex, Esq.

January 2019 – Austin, TX According to publicly available records  Omar Charles Richardson , a stockbroker who is currently registered with  Charles Schwab & Co., Inc., discloses  a pending customer dispute The…

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  • Robert Rex, Esq.

Doug Maurer-Ascendant Alternative Strategies Broker-Discloses $5.975 Million Settlement-Laguna Niguel, CA 
Doug Maurer-Ascendant Alternative Strategies Broker-Discloses $5.975 Million Settlement-Laguna Niguel, CA  150 150 Robert Rex, Esq.

November 2020, Laguna Niguel, CA According to publicly available records  Aaron Douglas (Doug) Maurer , a stockbroker previoiusly registered with Ascendant Alternative Strategies & RP Capital , discloses a prior customer…

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  • Robert Rex, Esq.

Kris Gaudet-Former Ameritas Broker-Discloses Fraud Investigation & Termination-Cut Off, LA
Kris Gaudet-Former Ameritas Broker-Discloses Fraud Investigation & Termination-Cut Off, LA 150 150 Robert Rex, Esq.

October 2019- Cut Off, LA According to publicly available records  Kristian “Kris” M. Gaudet , a former stockbroker who  was registered with Ameritas Investment Corp., discloses a recent regulatory event resulting…

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  • Robert Rex, Esq.

Matthew Singer- Former Morgan Stanley Broker-Customer Suits Over Option Investments- Aventura, FL
Matthew Singer- Former Morgan Stanley Broker-Customer Suits Over Option Investments- Aventura, FL 150 150 Robert Rex, Esq.

January 2020 – Aventura, FL The FINRA records of  Matthew Singer,  a  broker previously employed by Morgan Stanley Smith Barney disclose 3 prior customer disputes and a regulatory event. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Michael Polyakov- Westpark Capital Broker-Discloses Customer Disputes – Boca Raton, FL
Michael Polyakov- Westpark Capital Broker-Discloses Customer Disputes – Boca Raton, FL 150 150 Robert Rex, Esq.

March 2018 – Boca Raton, FL According to publicly available records Michael Polyakov, (CRD# 734810) ,  a  stockbroker who is currently employed by Westpark Capital ,  disclose 3 prior settled customer disputes . The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Scott Kozak-Former Cetera Advisors Broker-Subject of Regulatory Investigation-Highland Ranch, CO
Scott Kozak-Former Cetera Advisors Broker-Subject of Regulatory Investigation-Highland Ranch, CO 150 150 Robert Rex, Esq.

September 2019-Highland Ranch, CO The FINRA records of  Scott P. Kozak ,  a  unregistered broker who was last employed by  Cetera Advisors disclose  a recent regulatory event, 4 prior customer disputes  and…

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  • Robert Rex, Esq.

Joel Flaningan-Former NYLife Broker-Sued Over Woodbridge Fund Sales-Fort Wayne, Indiana
Joel Flaningan-Former NYLife Broker-Sued Over Woodbridge Fund Sales-Fort Wayne, Indiana 150 150 Robert Rex, Esq.

July 2018- Fort Wayne, Indiana The FINRA records of  Joel Vincent Flaningan ,  a  former stock broker who is not currently registered and who was last employed by NYLife Securities ,  disclose  a pending customer dispute involving…

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  • Robert Rex, Esq.

How to Recover Losses on Future Income Payments Losses
How to Recover Losses on Future Income Payments Losses 150 150 Robert Rex, Esq.

July 2018 UPDATE Investors in Future Income Payments LLC (FIP) who made their investment upon the recommendation of a registered stockbroker, a registered investment advisor, accountant  or a licensed insurance…

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  • Robert Rex, Esq.

Dennis Hayes-Former Newbridge Securities Broker-Discloses Numerous Customer Suits-Charlotte, N. Carolina
Dennis Hayes-Former Newbridge Securities Broker-Discloses Numerous Customer Suits-Charlotte, N. Carolina 150 150 Robert Rex, Esq.

March 2019- Charlotte, N. Carolina According to FINRA records,  Dennis Allen Hayes ,  a stock broker who  is not currently registered and who formerly worked for Newbridge Securities Corp. , discloses a pending regulatory investigaton, 2…

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