• Robert Rex, Esq.

Richard W. Martin-Former G.F. Investments Services Broker-Discloses Issues Over Sale of ETFs
Richard W. Martin-Former G.F. Investments Services Broker-Discloses Issues Over Sale of ETFs 150 150 Robert Rex, Esq.

July 2017-Malaysia The FINRA records of  Richard William Lunn Martin ,  a  former stockbroker who was last  employed by  G.F. Investment Services, disclose a  prior regulatory matter, 15 customer disputes, a current…

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  • Robert Rex, Esq.

Michael K. Parish-San Antonio Investment Adviser Sanctioned by Texas Regulator
Michael K. Parish-San Antonio Investment Adviser Sanctioned by Texas Regulator 150 150 Robert Rex, Esq.

July 2017 -San Antonio, TX The Texas State Securities Board  (TSSB)entered a disciplinary order against San Antonio investment adviser Michael Keith Parish for violations of Board Rule 116.17, known as the “custody…

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  • Robert Rex, Esq.

Northeast Securities Ordered to Pay Former Customer $1.8 Million-Mitchelfield, NY
Northeast Securities Ordered to Pay Former Customer $1.8 Million-Mitchelfield, NY 150 150 Robert Rex, Esq.

July 2017-New York An arbitration panel of the Financial Industry Regulatory Authority (FINRA) ordered Northeast Securities, Inc. a broker dealer headquartered in  Mitchelfield , NY, and three of their brokers…

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  • Robert Rex, Esq.

Investigation-Frank T. Dunn, Jr.-Concorde Investment Services-The Woodlands, TX
Investigation-Frank T. Dunn, Jr.-Concorde Investment Services-The Woodlands, TX 150 150 Robert Rex, Esq.

The Woodlands, Texas We are investigating the sales practices of Frank Timothy Dunn, Jr. a broker who has been employed by Concorde Investment Services since 10/2014. In publicly available records…

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  • Robert Rex, Esq.

David G. Menashe-Former Joseph Stone Capital Broker-Sanctioned by Securities Regulator for Excessive Trading-New York
David G. Menashe-Former Joseph Stone Capital Broker-Sanctioned by Securities Regulator for Excessive Trading-New York 150 150 Robert Rex, Esq.

July 2017-New York The FINRA records of  David G. Menashe ,  a  stockbroker who is currently  employed by  Newbridge Securities Corp. , disclose a  prior regulatory event. The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Wesley M. Woodyard Sentenced to 87 Months For Fraud-Dallas, Texas
Wesley M. Woodyard Sentenced to 87 Months For Fraud-Dallas, Texas 150 150 Robert Rex, Esq.

July 2017- Dallas, Texas According to the Department of Justice , Wesley Michael Woodyard, 66, was sentenced to 87 months in federal prison for his role in a scheme to defraud…

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  • Robert Rex, Esq.

SEC Files Action Over Verto Notes-Dallas & Plano, Texas
SEC Files Action Over Verto Notes-Dallas & Plano, Texas 150 150 Robert Rex, Esq.

July 2017-Dallas and Plano, Texas Two Texas firms and three individuals employed by the firms were named in an enforcement proceeding filed by the U.S. Securities and Exchange Commission over…

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  • Robert Rex, Esq.

James K. Pheney-WFG Investments, Inc. Broker-Discloses Pending Customer Dispute-Castle Rock, CO.
James K. Pheney-WFG Investments, Inc. Broker-Discloses Pending Customer Dispute-Castle Rock, CO. 150 150 Robert Rex, Esq.

July  2017- Castle Rock, CO According to publicly available records James K. Pheney  (CRD#1272932) ,  a  stockbroker who currently is employed by WFG (Williams Financial Group) Investments, Inc. ,  disclose a pending customer dispute.…

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  • Robert Rex, Esq.

Edward A. Horwitz-Western International Securities Broker-Discloses Customer Dispute-Deerfield, IL
Edward A. Horwitz-Western International Securities Broker-Discloses Customer Dispute-Deerfield, IL 150 150 Robert Rex, Esq.

July 2017- Deerfield, IL According to publicly available records Edward Alan Horwitz (CRD#2154232) ,  a  stockbroker currently registered with Western International Securities, Inc., discloses a customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…

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  • Robert Rex, Esq.

Daniel J. Haugh-PTI Securities & Futures Broker-Discloses Customer Arbitration & Regulatory Sanction-Chicago, IL
Daniel J. Haugh-PTI Securities & Futures Broker-Discloses Customer Arbitration & Regulatory Sanction-Chicago, IL 150 150 Robert Rex, Esq.

Updated January 2019-Chicago According to publicly available records Daniel John Haugh  (CRD#2162854) ,  a  stockbroker who currently is the chief compliance officer of  PTI Securities & Futures , disclose a recent regulatory event…

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