• Robert Rex, Esq.

George P. Koulouris-KCD Financial Broker-Discloses Customer Disputes-Manlius, NY
George P. Koulouris-KCD Financial Broker-Discloses Customer Disputes-Manlius, NY 150 150 Robert Rex, Esq.

August 2016- Manlius, NY The FINRA records of George P. Koulouris ,  a  stock broker who is currently  employed by KCD Financial, Inc.  disclose a prior regulatory event, 6 prior customer disputes, one currently pending customer dispute…

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  • Robert Rex, Esq.

Larry D. Freie-Former Sunset Financial Services Broker-Discloses Customer Disputes
Larry D. Freie-Former Sunset Financial Services Broker-Discloses Customer Disputes 150 150 Robert Rex, Esq.

August 2016- Lincoln, NE The FINRA records of Larry D. Freie ,  a  stock broker who is currently  employed by Ameritas Investment Corp.  disclose a prior customer dispute and one currently pending customer dispute. The Financial Industry…

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  • Robert Rex, Esq.

Wilbanks Securities Execs Named In $1.4M Arbitration Over Losses in Aztec Oil & Gas
Wilbanks Securities Execs Named In $1.4M Arbitration Over Losses in Aztec Oil & Gas 150 150 Robert Rex, Esq.

Oklahoma City, OK The FINRA records of Aaron B. Wilbanks, President and CEO of Wilbanks Securities  , the FINRA records of Randall L. Wilbanks, Vice President of Wilbanks Securities, and the FINRA records of Steven D. Sharpe,…

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  • Robert Rex, Esq.

Frank J. McPartland-NBC Securities Broker-Discloses Pending Customer Arbitration
Frank J. McPartland-NBC Securities Broker-Discloses Pending Customer Arbitration 150 150 Robert Rex, Esq.

August  2016-Tampa, Florida The FINRA records of Frank J. McPartland ,  a  stock broker who is currently employed by NBC Securities, Inc.  , discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses…

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  • Robert Rex, Esq.

Samuel F. Lek of Lek Securities Discloses 6 Pending Regulatory Investigations
Samuel F. Lek of Lek Securities Discloses 6 Pending Regulatory Investigations 150 150 Robert Rex, Esq.

August  2016-New York The FINRA records of Samuel F. Lek ,  a  stock broker who is currently  employed  by Lek Securities Corporation  , disclose 6 pending FINRA investigations. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses…

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  • Robert Rex, Esq.

Lubbock National Bank Hosts Financial Exploitation Seminar Wednesday, August 3, 2016
Lubbock National Bank Hosts Financial Exploitation Seminar Wednesday, August 3, 2016 150 150 Robert Rex, Esq.

August 1, 2016-Lubbock, Texas Lubbock National Bank announces a free seminar on financial exploitation of the elderly to be held on August 3, 2016, at 2:30 PM , at Raider…

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  • Robert Rex, Esq.

Miami, FL-DOJ Charges Two With Securities Fraud
Miami, FL-DOJ Charges Two With Securities Fraud 150 150 Robert Rex, Esq.

July 2016-Miami, Florida The Department of Justice announced that stock promoters Daniel McKelvey, 49, of Foster City, CA and Jeffrey L. Lamson, 51, of El Dorado Hills, CA, have been charged…

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  • Robert Rex, Esq.

Sperry R. Younger-NMS Capital Advisors Broker-Discloses Customer Dispute
Sperry R. Younger-NMS Capital Advisors Broker-Discloses Customer Dispute 150 150 Robert Rex, Esq.

July 2016-New York The FINRA records of Sperry R. Younger ,  a stock broker who is currently employed by NMS Capital Advisors, LLC, disclose  a currently pending regulatory event, a currently pending customer dispute,  3 prior…

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  • Robert Rex, Esq.

Joseph C. Alexander-Sterne Agee Financial Broker-Discloses Customer Dispute
Joseph C. Alexander-Sterne Agee Financial Broker-Discloses Customer Dispute 150 150 Robert Rex, Esq.

July 2016-Pell City, Alabama The FINRA records of Joseph C. Alexander ,  a stock broker who is currently employed by Sterne Agee Financial Services, disclose  a currently pending customer dispute and a prior finalized customer…

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  • Robert Rex, Esq.

Michael S. Lavolpe-Former Meyers Associates Broker-Discloses Multiple Pending Customer Disputes
Michael S. Lavolpe-Former Meyers Associates Broker-Discloses Multiple Pending Customer Disputes 150 150 Robert Rex, Esq.

July 2016-New York The FINRA records of Michael S. Lavolpe  , a  currently unlicensed stockbroker who was  most recently employed by  Meyers Associates  , disclose a pending regulatory event, 4 pending customer disputes, 2 prior customer disputes…

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