• Robert Rex, Esq.

William Hightower-Former UBS/Legacy Asset Broker Barred from Industry-Houston, TX
William Hightower-Former UBS/Legacy Asset Broker Barred from Industry-Houston, TX 150 150 Robert Rex, Esq.

JANUARY 2019 UPDATE. See this for more. October 7, 2015-Houston, Texas William Andrew Hightower, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA)…

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  • Robert Rex, Esq.

Barry Hartman-FSC Securities Broker- Sanctioned by Regulator
Barry Hartman-FSC Securities Broker- Sanctioned by Regulator 150 150 Robert Rex, Esq.

  Barry George Hartman , entered into a Letter of Acceptance, Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he engaged in outside business activities without…

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  • Robert Rex, Esq.

Mark B. Quimby-Former Allstate Financial Services Broker-Sanctioned by Securities Regulator-Tampa, FL
Mark B. Quimby-Former Allstate Financial Services Broker-Sanctioned by Securities Regulator-Tampa, FL 150 150 Robert Rex, Esq.

August18, 2015, Mark Brian Quimby,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he caused two customers to…

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  • Robert Rex, Esq.

Former PrimeSolutions Securities Broker Named in Suit By SEC
Former PrimeSolutions Securities Broker Named in Suit By SEC 150 150 Robert Rex, Esq.

Richfield, Ohio-April 15, 2015 Jerry A. Cicolani, 51, was charged in a criminal information with selling unregistered securities in KGTA Petroleum, Ltd., causing dozens of investors to lose over $7…

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