• Robert Rex, Esq.

Charles L. Evans-Former RBC Capital Broker-Discloses Termination and Regulatory Event
Charles L. Evans-Former RBC Capital Broker-Discloses Termination and Regulatory Event 150 150 Robert Rex, Esq.

Plano, Texas According to FINRA records,  Charles L. Evans ,  a stockbroker  who currently works  for Prospera Financial Services , discloses  a  termination from employment and one final regulatory event. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Clint Smith-Former Edward Jones Broker-Barred From Securities Industry-Beaumont, Texas
Clint Smith-Former Edward Jones Broker-Barred From Securities Industry-Beaumont, Texas 150 150 Robert Rex, Esq.

UPDATED JULY 2018 Lumberton/Beaumont , Texas According to FINRA records,  Wesley “Clint” Smith ,  a stockbroker  who formerly worked  for Edward Jones discloses  a pending customer dispute, 7 prior customer disputes and one final…

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  • Robert Rex, Esq.

Carol Rushton-Former Regions Bank VP In Tyler, TX-Sentenced for Banking Violations
Carol Rushton-Former Regions Bank VP In Tyler, TX-Sentenced for Banking Violations 150 150 Robert Rex, Esq.

June 14, 2016- Tyler, Texas The US Attorney’s Office for the Eastern District of Texas announced the sentencing of Carol D. Rushton to 36 months of federal probation, a fine…

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  • Robert Rex, Esq.

Ronald Earl McCullough-Raleigh, NC-FBI Offers Reward
Ronald Earl McCullough-Raleigh, NC-FBI Offers Reward 150 150 Robert Rex, Esq.

June 16. 2016-Charlotte, North Carolina The FBI announced a $5,000 reward for assistance in locating Ronald Earl McCullough who, by portraying himself as a religious leader, was able to over…

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  • Robert Rex, Esq.

Investors Capital Corp. Discloses 22 Regulatory Issues-Withdraws FINRA Registration
Investors Capital Corp. Discloses 22 Regulatory Issues-Withdraws FINRA Registration 150 150 Robert Rex, Esq.

UPDATE APRIL 2018-In December 2017, Investors Capital Corp. was hit with another FINRA regulatory sanction involving mutual funds. The firm was censured and agreed to pay $437,674 in restitution to…

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  • Robert Rex, Esq.

David L. Hannett Sr.-Invest Financial Broker-Discloses $5M Customer Dispute
David L. Hannett Sr.-Invest Financial Broker-Discloses $5M Customer Dispute 150 150 Robert Rex, Esq.

Vienna, VA According to FINRA records,  David L. Hannett, Sr. ,  a stockbroker  who works  for Invest Financial Corp. discloses  a pending customer dispute . The Financial Industry Regulatory Authority (FINRA) is the agency that licenses…

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  • Robert Rex, Esq.

Jack G. Merritt-Crown Capital Broker-Discloses Customer Dispute Over Oil & Gas Investments
Jack G. Merritt-Crown Capital Broker-Discloses Customer Dispute Over Oil & Gas Investments 150 150 Robert Rex, Esq.

August 2019-Huntington Beach, CA According to FINRA records,  Jack G. Merritt ,  a stockbroker  who works  for Crown Capital Securities  discloses  the settlement of a  customer dispute . The Financial Industry Regulatory Authority (FINRA) is…

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  • Robert Rex, Esq.

Barrett & Company Ordered to Pay Former Customers Over $267K by Arbitration Panel
Barrett & Company Ordered to Pay Former Customers Over $267K by Arbitration Panel 150 150 Robert Rex, Esq.

Providence, Rhode Island A Financial Industry Regulatory Authority (FINRA) arbitration panel ordered brokerage firm Barrett & Company  and two of its brokers, Wilson Gordon Saville and Charles Edward White, to…

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  • Robert Rex, Esq.

Legend Securities Loses Arbitration Hearing Brought by Former Customer
Legend Securities Loses Arbitration Hearing Brought by Former Customer 150 150 Robert Rex, Esq.

Tampa, Florida A Financial Industry Regulatory Authority (FINRA) arbitration panel awarded damages of over $150,000 to two former customers of Legend Securities, Inc. who brought the action for losses suffered…

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  • Robert Rex, Esq.

Stanley Brian Catlin, Weatherford, TX-Fined by State Securities Regulator
Stanley Brian Catlin, Weatherford, TX-Fined by State Securities Regulator 150 150 Robert Rex, Esq.

Weatherford, Texas Stanley Brian Catlin, a CPA and Weatherford ISD school board trustee was fined $6,000 by the Texas State Securities Board (TSSB) for acting as an investment adviser representative…

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