• Robert Rex, Esq.

Douglas P. Simanski-Former NEXT Financial Group Broker-Discharged for Theft
Douglas P. Simanski-Former NEXT Financial Group Broker-Discharged for Theft 150 150 Robert Rex, Esq.

Altoona, PA UPDATE MAY 2017-The FINRA records of former NEXT Financial Group broker Douglas Simanski currently disclose 13 pending customer disputes and 3 customer disputes that are final. The newly…

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  • Robert Rex, Esq.

Charles C. Shafe-Transam Securities Broker-Discloses Customer Disputes Over Alternative Investments
Charles C. Shafe-Transam Securities Broker-Discloses Customer Disputes Over Alternative Investments 150 150 Robert Rex, Esq.

MAY 2018 UPDATE-Charles C. Shafe discloses a pending customer dispute in which a customer of Transam Securities alleges damages of $15,597 in connection with a real estate investment. ORIGINAL POST…

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  • Robert Rex, Esq.

Steven Ray Hinkle-Former Dynasty Capital Partners Broker-Sanctioned by Regulator
Steven Ray Hinkle-Former Dynasty Capital Partners Broker-Sanctioned by Regulator 150 150 Robert Rex, Esq.

Englewood, CO The FINRA records of  Steven Ray Hinkle,  a  stock broker who currently is employed by Neidiger, Tucker, Bruner discloses a final FINRA regulatory event. The Financial Industry Regulatory Authority (FINRA) is the…

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  • Robert Rex, Esq.

Raymond T. Clark-Former Dynasty Capital Partners Broker-Discloses 6 Pending Customer Disputes
Raymond T. Clark-Former Dynasty Capital Partners Broker-Discloses 6 Pending Customer Disputes 150 150 Robert Rex, Esq.

August 2016- Buffalo, New York The FINRA records of  Raymond T. Clark,  a  former stock broker who FINRA has permanently barred from acting as a broker or otherwise associating with firms that…

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  • Robert Rex, Esq.

Bryan O. Eberle-Former LPL Financial Broker-Discloses 2 Terminations From Employment
Bryan O. Eberle-Former LPL Financial Broker-Discloses 2 Terminations From Employment 150 150 Robert Rex, Esq.

August 2016- Marlton, NJ The FINRA records of  Bryan O. Eberle,  a  stock broker who is currently employed by Client One Securities  disclose  two terminations from employment. The Financial Industry Regulatory Authority (FINRA) is the agency…

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  • Robert Rex, Esq.

Michael Anthony Collins Sentenced to 15 Years for Securities Fraud-Alice, TX
Michael Anthony Collins Sentenced to 15 Years for Securities Fraud-Alice, TX 150 150 Robert Rex, Esq.

August 2016- Alice, Texas   Michael Anthony Collins pleaded guilty to stock fraud, theft and money laundering and was sentenced to 15 years on each count in Jim Wells County…

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  • Robert Rex, Esq.

Christian J. Stoltz-Centaurus FInancial Broker-Discloses Customer Disputes-Forty Fort, PA
Christian J. Stoltz-Centaurus FInancial Broker-Discloses Customer Disputes-Forty Fort, PA 150 150 Robert Rex, Esq.

August 2016- Forty Fort, PA The FINRA records of  Christian J. Stoltz,  a  stock broker who is currently employed by Centaurus Financial  disclose  a currently pending customer dispute and a prior customer dispute. The Financial…

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  • Robert Rex, Esq.

Leslie R. Cabrinha-Centaurus Financial Broker-Discloses Pending Customer Dispute Alleging Damages of $1M
Leslie R. Cabrinha-Centaurus Financial Broker-Discloses Pending Customer Dispute Alleging Damages of $1M 150 150 Robert Rex, Esq.

August 2016- Petersburg, VA The FINRA records of  Leslie R. Cabrinha,  a  stock broker who is currently employed by Centaurus Financial  disclose  a currently pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…

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  • Robert Rex, Esq.

Christopher T. Tolmacs-Former Triad Advisors Broker-Ordered to Pay Customer $1.5M-Columbia, S. Carolina
Christopher T. Tolmacs-Former Triad Advisors Broker-Ordered to Pay Customer $1.5M-Columbia, S. Carolina 150 150 Robert Rex, Esq.

August 2016- Columbia, South Carolina September 2017 UPDATE-A FINRA arbitration panel in Columbia, South Carolina awarded two former clients of Christopher Thomas Tolmacs $1.2 million in compensatory damages and $300,000 in…

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