• Robert Rex, Esq.

John M. Gregory-Former Citigroup Broker-Discloses Termination from Employment
John M. Gregory-Former Citigroup Broker-Discloses Termination from Employment 150 150 Robert Rex, Esq.

White Plains, New York According to FINRA records,  John M. Gregory  ,  a stockbroker  who currently works  for Prospera Financial Services , discloses  a  termination from employment . The Financial Industry Regulatory Authority (FINRA) is…

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  • 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.

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.

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.

Ralph B. Marra-Former Morgan Stanley Broker-Discloses Two Pending Customer Disputes-Red Bank, NJ
Ralph B. Marra-Former Morgan Stanley Broker-Discloses Two Pending Customer Disputes-Red Bank, NJ 150 150 Robert Rex, Esq.

Red Bank, New Jersey UPDATE July 2016–FINRA records disclose that Ralph B. Marra has an outstanding Internal Revenue Service levy at the court in Freehold New Jersey, in the amount…

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  • Robert Rex, Esq.

Timothy C. Moody- Moody Captital Solutions Broker-Discloses Regulatory Suspension
Timothy C. Moody- Moody Captital Solutions Broker-Discloses Regulatory Suspension 150 150 Robert Rex, Esq.

Dawsonville, Georgia According to FINRA records,  Timothy C. Moody ,   a stock broker  employed by Moody Capital Solutions , discloses a recent regulatory action. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers…

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  • Robert Rex, Esq.

Robert L. Rosenstein-Moody Capital Solutions Broker-Discloses Judgements/Liens
Robert L. Rosenstein-Moody Capital Solutions Broker-Discloses Judgements/Liens 150 150 Robert Rex, Esq.

Dawsonville, Georgia According to FINRA records,  Robert L. Rosenstein ,   a stock broker  formerly employed by Ladenburg, Thalmann & Co. , discloses the discharge from a Chapter 7 bankruptcy in 2012  and 5 pending judgment/liens. He is…

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