• Robert Rex, Esq.

Couple Awarded $550,000 For Losses on Breitburn Energy Investments-St. Louis
Couple Awarded $550,000 For Losses on Breitburn Energy Investments-St. Louis 150 150 Robert Rex, Esq.

September 2017-St. Louis, MO A FINRA arbitration panel ordered J.J.B. Hilliard, W.L. Lyons to pay a couple $450,000 in compensatory damages, $100,000 in punitive damages and costs of over $18,000.…

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  • Robert Rex, Esq.

Jason H. LeBlanc-Former Girard Securities Broker-Barred From Securities Industry-Fulshear, TX
Jason H. LeBlanc-Former Girard Securities Broker-Barred From Securities Industry-Fulshear, TX 150 150 Robert Rex, Esq.

September 2017 -Fulshear, Texas According to publicly available records Jason H. LeBlanc (CRD#2483182) , a  former stockbroker who was last employed by Girard Securities , disclose  a prior regulatory event,  3 prior customer disputes and a…

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  • Robert Rex, Esq.

Paul W. Smith-Former Bolton Global Capital Broker Investigated Over Haverford Investment-Wayne, PA
Paul W. Smith-Former Bolton Global Capital Broker Investigated Over Haverford Investment-Wayne, PA 150 150 Robert Rex, Esq.

September 2017 -Wayne, PA According to publicly available records Paul W. Smith (CRD#1070735) , a  former stockbroker who was last registered with Bolton Global Capital , disclose  a final regulatory event , 7 pending customer…

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  • Robert Rex, Esq.

Guy Magarelli-Newbridge Securities Broker-Discloses Customer Dispute-Boca Raton, FL
Guy Magarelli-Newbridge Securities Broker-Discloses Customer Dispute-Boca Raton, FL 150 150 Robert Rex, Esq.

September 2017 -Boca Raton, FL According to publicly available records Gaetano “Guy” Magarelli (CRD#2227996) , a  stockbroker who is registered with Newbridge Securities Corporation , disclose  2 pending customer disputes , 3 prior customer disputes…

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  • Robert Rex, Esq.

William H. Watson III-Former Freedom Investors Broker- Discloses Regulatory events, Customer Disputes-Federal Tax Liens-Orange County, CA
William H. Watson III-Former Freedom Investors Broker- Discloses Regulatory events, Customer Disputes-Federal Tax Liens-Orange County, CA 150 150 Robert Rex, Esq.

August 2018 -Orange County, CA According to publicly available records William Henry Watson III (CRD#1016938) , a  stockbroker who was previously registered with Freedom Investors Corp, disclose  two regulatory events , seven customer disputes and…

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  • Robert Rex, Esq.

Glenn R. King- Prior Buckman, Buckman & Reid, Inc. Broker- Discloses FINRA Sanction, Numerous Customer Disputes – Shrewsbury, NJ
Glenn R. King- Prior Buckman, Buckman & Reid, Inc. Broker- Discloses FINRA Sanction, Numerous Customer Disputes – Shrewsbury, NJ 150 150 Robert Rex, Esq.

August 2017 – Shrewsbury, NJ According to publicly available records  Glenn Robert King (CRD#2191091) , a former stockbroker who was last registered with Buckman, Buckman & Reid, Inc. disclose a regulatory event,…

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  • Robert Rex, Esq.

Tye C. Williams-Former NEXT Financial Group Broker-Named in $1M Customer Dispute-Frisco, TX
Tye C. Williams-Former NEXT Financial Group Broker-Named in $1M Customer Dispute-Frisco, TX 150 150 Robert Rex, Esq.

September 2017 – Frisco, Texas According to publicly available records  Tye C. Williams (CRD#1271046) , a former stockbroker  who was most recently employed by NEXT Financial Group , disclose  a regulatory event that resulted in…

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  • Robert Rex, Esq.

Michael O’Connor-Former Morgan Stanley Broker-Agrees to Bar from Securities Industry-Pepper Pike, OH
Michael O’Connor-Former Morgan Stanley Broker-Agrees to Bar from Securities Industry-Pepper Pike, OH 150 150 Robert Rex, Esq.

September 2017 – Pepper Pike, OH According to publicly available records  Michael J. O’Connor (CRD#5791343) , a former stockbroker  who was most recently employed by Morgan Stanley , disclose a termination from employment and a…

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  • Robert Rex, Esq.

Kelly G. Richards-First Allied Securities Broker-Discloses Prior Termination-Phoenix, AZ
Kelly G. Richards-First Allied Securities Broker-Discloses Prior Termination-Phoenix, AZ 150 150 Robert Rex, Esq.

August  2018- The FINRA records of  Kelly Gene Richards , (CRD 4918409),   a  stockbroker who is currently  employed by  First Allied Securities, disclose a prior termination from employment. The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Employer of Stuart, FLA, Broker Christopher D. Sinkula Named in FINRA Arbitration
Employer of Stuart, FLA, Broker Christopher D. Sinkula Named in FINRA Arbitration 150 150 Robert Rex, Esq.

FOLLOW THIS LINK FOR FEBRUARY 2019 UPDATE-Chris SInkula subject of pending customer disputes of nearly $3 million.  September 2017-Stuart, Florida We have filed a FINRA arbitration claim against Janney Montgomery…

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