• Robert Rex, Esq.

Curt L. Howard-Former Edward Jones Broker-Subject of $1M Customer Suit- Sapulpa, OK
Curt L. Howard-Former Edward Jones Broker-Subject of $1M Customer Suit- Sapulpa, OK 150 150 Robert Rex, Esq.

Curt Howard Investigation November 2021-Sapulpa, OK According to publicly available records Curtis Lee Howard ,  a   stockbroker who formerly worked for Edward Jones and who  is currently registered with Level Four Financial,…

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  • Robert Rex, Esq.

Brad Brooks-Titan Securities Broker-Discloses Regulatory Investigation-Addison, TX
Brad Brooks-Titan Securities Broker-Discloses Regulatory Investigation-Addison, TX 150 150 Robert Rex, Esq.

Brad Brooks Investigation November 2021- Addison, Texas The FINRA records of  Brad C. Brooks ,  a   broker who is employed by  Titan Securities  disclose a currently pending regulatory investigation, 6 prior final customer…

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Joseph Lianzo -Former SW Financial Broker-Suspended by FINRA-Melville, NY
Joseph Lianzo -Former SW Financial Broker-Suspended by FINRA-Melville, NY 150 150 ER

Joseph A. Lianzo Investigation November  2021 – Melville, NY According to publicly attained records, Joseph Lianzo, a stockbroker who is not currently registered  and who was last employed by SW Financial…

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  • ER

David J. Volpe- Former First Financial Equity Broker- Permanently Barred By Securities Regulator – SCottsdale, AZ
David J. Volpe- Former First Financial Equity Broker- Permanently Barred By Securities Regulator – SCottsdale, AZ 150 150 ER

David Volpe Investigation November 2021- Scottsdale, AZ According to publicly available records, David John Volpe a currently unregistered financial advisor whose prior registrations include First Financial Equity, LPL Financial and National…

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Roderick K Von Lipsey – UBS Financial Services Broker- Discloses $4 Million in Pending Customer Disputes- Washington, DC
Roderick K Von Lipsey – UBS Financial Services Broker- Discloses $4 Million in Pending Customer Disputes- Washington, DC 150 150 ER

Roderick Von Lipsey Investigation November 2021- Washington, DC According to publicly recorded records, Roderick Von Lipsey,  a broker with UBS Financial Services,  discloses 4 pending customer disputes which all relate…

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Derrick R. Trussell-Former Primerica Broker-Barred From Securities Industry Over Tom Carter Investment Sales-San Antonio,TX
Derrick R. Trussell-Former Primerica Broker-Barred From Securities Industry Over Tom Carter Investment Sales-San Antonio,TX 150 150 ER

Derrick  Trussell Tom Carter Investment Program Investigation November 2021-San Antonio, TX According to publicly available records Derrick R Trussell,  a  former stockbroker who last worked for PFS Investments Inc. (Primerica) discloses a regulatory…

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Kirk Pickell – Janney Montgomery Scott Broker- Discloses $10M Customer Dispute – Providence, RI
Kirk Pickell – Janney Montgomery Scott Broker- Discloses $10M Customer Dispute – Providence, RI 150 150 ER

Kirk Pickell Investigation November 2021- Providence, RI According to publicly available records Kirk Edward Pickell,  a broker with Janney Montgomery Scott,  discloses a multi million dollar customer dispute. The Financial…

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  • Robert Rex, Esq.

Timothy J. Prouty- Former Morgan Stanley Broker- Discloses Customer Suit-Albuquerque, NM
Timothy J. Prouty- Former Morgan Stanley Broker- Discloses Customer Suit-Albuquerque, NM 150 150 Robert Rex, Esq.

Timothy J. Prouty Investigation November 2021- Albuquerque, NM According to publicly available records,  Timothy J. Prouty, a broker previously employed with Morgan Stanley discloses a large arbitration award to a former customer…

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  • Robert Rex, Esq.

Sarah Komischke-Former Raymond James Advisor-Subject of Two Customer Suits-New York
Sarah Komischke-Former Raymond James Advisor-Subject of Two Customer Suits-New York 150 150 Robert Rex, Esq.

Xiao Qin (Sarah) Komischke Investigation November 2021- New York, NY According to publicly available records, former Raymond James  financial advisor Xiao Qin “Sarah” Komischke,   is the subject of two pending…

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  • Robert Rex, Esq.

David C. Monckton-Former VOYA Financial Advisor-Discloses Customer Suits Over Direct Investments-Myrtle Beach, S. Carolina
David C. Monckton-Former VOYA Financial Advisor-Discloses Customer Suits Over Direct Investments-Myrtle Beach, S. Carolina 150 150 Robert Rex, Esq.

David Monckton Investigation March 2022-Myrtle Beach, S. Carolina According to publicly available records David Monckton  , a  stockbroker who was previously registered with Voya Financial Advisors,  disclose a currently pending customer disputes…

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