• Robert Rex, Esq.

Jeffrey R. Wilson-Wells Fargo Broker-Loses Arbitration to Customer Over Energy and Real Estate Investments-Las Cruces, NM
Jeffrey R. Wilson-Wells Fargo Broker-Loses Arbitration to Customer Over Energy and Real Estate Investments-Las Cruces, NM 150 150 Robert Rex, Esq.

May 2017-Las Cruces, NM The FINRA records of  Jeffrey R. Wilson  ,  a  stockbroker who is currently  registered with Wells Fargo Clearing Services disclose a recent arbitration award to a customer and 2 other prior…

read more
  • Robert Rex, Esq.

Dominic J. Linsalata-Newbridge Securities Broker-Discloses Settlement of Customer Dispute-Boca Raton, FL
Dominic J. Linsalata-Newbridge Securities Broker-Discloses Settlement of Customer Dispute-Boca Raton, FL 150 150 Robert Rex, Esq.

May 2017-Boca Raton, FL The FINRA records of  Dominic J. Linsalata Jr.  ,  a  stockbroker who is currently registered with Newbridge Securities disclose a customer dispute that was settled. The Financial Industry Regulatory Authority…

read more
  • Robert Rex, Esq.

William C. (Bill) Fenwick Jr.-First Kentucky Securities Broker-Discloses Customer Disputes-Louisville, KY
William C. (Bill) Fenwick Jr.-First Kentucky Securities Broker-Discloses Customer Disputes-Louisville, KY 150 150 Robert Rex, Esq.

APRIL 2018 UPDATE-$20M customer dispute disclosed by Bill Fenwick, See this for details. April 2017-Louisville, KY The FINRA records of  William C. (Bill) Fenwick Jr.  ,  a  stockbroker who is currently registered with…

read more
  • Robert Rex, Esq.

George B. Medina-CV Brokerage Inc Broker-Discloses Termination From Employment-New York
George B. Medina-CV Brokerage Inc Broker-Discloses Termination From Employment-New York 150 150 Robert Rex, Esq.

May 2017-New York The FINRA records of  George B. Medina ,  a  stockbroker who is currently registered with CV Brokerage Inc. disclose a termination from employment and outstanding judgment/liens . The Financial Industry Regulatory Authority (FINRA) is…

read more
  • Robert Rex, Esq.

Todd F. Sherman-Former Fusion Analytics Securities Broker-Discloses Customer Dispute-Coral Springs, FL
Todd F. Sherman-Former Fusion Analytics Securities Broker-Discloses Customer Dispute-Coral Springs, FL 150 150 Robert Rex, Esq.

June 2021-Coral Springs, FL The FINRA records of  Todd F. Sherman ,  a  stockbroker who was last registered with Fusion Analytics Securities disclose a regulatory matter resulting in suspension. The Financial Industry…

read more
  • Robert Rex, Esq.

David Elliott Rosen-Austin Concert Promoter-Sentenced on Securities Fraud
David Elliott Rosen-Austin Concert Promoter-Sentenced on Securities Fraud 150 150 Robert Rex, Esq.

May 2017-Austin, Texas Former concert promoter David Elliott Rosen pleaded guilty to securities fraud in Travis County State District Court and was sentenced to 10 years and ordered to pay…

read more
  • Robert Rex, Esq.

Steven H. Murphy – Former VSR Financial Services Broker- Discloses Customer Disputes- Simi Valley, CA
Steven H. Murphy – Former VSR Financial Services Broker- Discloses Customer Disputes- Simi Valley, CA 150 150 Robert Rex, Esq.

April 2017- Simi Valley, CA The FINRA records  of Steven H. Murphy,  a  stockbroker who is currently employed by  Summit Brokerage Services  and was previously employed by VSR Financial Services, disclose a pending  customer dispute and…

read more
  • Robert Rex, Esq.

Christopher R. Hickman-Former Cetera Advisors Broker-Discloses Settlement of Customer Disputes-Delray Beach, FL
Christopher R. Hickman-Former Cetera Advisors Broker-Discloses Settlement of Customer Disputes-Delray Beach, FL 150 150 Robert Rex, Esq.

June 2017-Delray Beach, FL The FINRA records of  Christopher R. Hickman ,  a  former stockbroker who was last employed as a broker by Cetera Advisors and who is not currently registered, disclose…

read more
  • Robert Rex, Esq.

William D. Byrd-Former Transamerica Broker-Discloses Customer Disputes-Tampa, FL
William D. Byrd-Former Transamerica Broker-Discloses Customer Disputes-Tampa, FL 150 150 Robert Rex, Esq.

May 2017-Tampa, FL The FINRA records of  William D. Byrd ,  a  stockbroker who is currently registered with Capital Financial Services disclose a pending customer dispute and 3 prior final customer disputes. The Financial Industry…

read more
  • Robert Rex, Esq.

William Blair and Company to Pay $4.5 Million Fine to Regulator
William Blair and Company to Pay $4.5 Million Fine to Regulator 150 150 Robert Rex, Esq.

MAY 2017 According to the U.S. Securities and Exchange Commission, Chicago based brokerage firm William Blair and Company will pay $4.5 million to settle charges that mutual fund assets were…

read more
Enter your
text here

You cannot copy content of this page