• Robert Rex, Esq.

Wilbanks Securities Execs Named In $1.4M Arbitration Over Losses in Aztec Oil & Gas
Wilbanks Securities Execs Named In $1.4M Arbitration Over Losses in Aztec Oil & Gas 150 150 Robert Rex, Esq.

Oklahoma City, OK The FINRA records of Aaron B. Wilbanks, President and CEO of Wilbanks Securities  , the FINRA records of Randall L. Wilbanks, Vice President of Wilbanks Securities, and the FINRA records of Steven D. Sharpe,…

read more
  • Robert Rex, Esq.

Michael B. Inderlied-Former Wilbanks Securities Broker-Discloses Customer Disputes & Terminations
Michael B. Inderlied-Former Wilbanks Securities Broker-Discloses Customer Disputes & Terminations 150 150 Robert Rex, Esq.

August  2016-Frisco, Texas The FINRA records of Michael B. Inderlied ,  a  stock broker who is currently not licensed and who was last employed by Adirondack Trading Group   disclose  a prior regulatory event, 2 prior customer…

read more
  • Robert Rex, Esq.

Jamie D. Pope-Former Wilbanks Securities Broker-Discloses Permanent Bar from Industry & Discharge
Jamie D. Pope-Former Wilbanks Securities Broker-Discloses Permanent Bar from Industry & Discharge 150 150 Robert Rex, Esq.

August  2016-Winter Park, Florida The FINRA records of Jamie D. Pope ,  a  stock broker who has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to…

read more
  • Robert Rex, Esq.

Mark S. Garfinkel-Oppenheimer Broker, Boca Raton-Discloses Customer Disputes and Bankruptcy Filing
Mark S. Garfinkel-Oppenheimer Broker, Boca Raton-Discloses Customer Disputes and Bankruptcy Filing 150 150 Robert Rex, Esq.

August  2016-Boca Raton, Florida The FINRA records of Mark S. Garfinkel ,  a  stock broker who is currently employed  by Oppenheimer & Co.  , disclose  five prior  customer disputes and and one financial event. The Financial Industry Regulatory…

read more
  • Robert Rex, Esq.

Rick J. Sande-Aegis Capital Broker-Discloses Pending Customer Arbitration Claim
Rick J. Sande-Aegis Capital Broker-Discloses Pending Customer Arbitration Claim 150 150 Robert Rex, Esq.

August  2016-Melville, New York The FINRA records of Rick J. Sande ,  a  stock broker who is currently employed by Aegis Capital , disclose a pending customer dispute and a prior final customer dispute. The Financial Industry Regulatory…

read more
  • Robert Rex, Esq.

Joel E. Archer-Summit Brokerage Services Broker-Discloses Pending Customer Dispute-Arden Arcade, CA
Joel E. Archer-Summit Brokerage Services Broker-Discloses Pending Customer Dispute-Arden Arcade, CA 150 150 Robert Rex, Esq.

August  2016-Arden Arcade, CA The FINRA records of Joel E. Archer ,  a  stock broker who is currently employed by Summit Brokerage Services , disclose a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that…

read more
  • Robert Rex, Esq.

J.J. Heaton-Former Merrill Lynch Broker-Discloses Customer Dispute Over Annuity Purchase
J.J. Heaton-Former Merrill Lynch Broker-Discloses Customer Dispute Over Annuity Purchase 150 150 Robert Rex, Esq.

August  2016-The Villages, Florida The FINRA records of J.J. Heaton ,  a  stock broker who is currently employed by Raymond James & Assoc. , disclose a pending customer dispute brought by a customer of Merrill Lynch,  Heaton’s prior employer.…

read more
  • Robert Rex, Esq.

Debra R. Lambert-Raymond James Broker-Discloses Pending Customer Arbitration
Debra R. Lambert-Raymond James Broker-Discloses Pending Customer Arbitration 150 150 Robert Rex, Esq.

August  2016-The Villages, Florida The FINRA records of Debra R. Lambert ,  a  stock broker who is currently employed by Raymond James & Assoc. , disclose a pending customer dispute brought by a customer of Merrill Lynch, Lambert’s…

read more
  • Robert Rex, Esq.

Frank J. McPartland-NBC Securities Broker-Discloses Pending Customer Arbitration
Frank J. McPartland-NBC Securities Broker-Discloses Pending Customer Arbitration 150 150 Robert Rex, Esq.

August  2016-Tampa, Florida The FINRA records of Frank J. McPartland ,  a  stock broker who is currently employed by NBC Securities, Inc.  , discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses…

read more
  • Robert Rex, Esq.

Hank Werner-Former Legend Securities Broker-Discloses Investigation for Churning Account of Blind & Disabled Widow
Hank Werner-Former Legend Securities Broker-Discloses Investigation for Churning Account of Blind & Disabled Widow 150 150 Robert Rex, Esq.

August  2016-New York The FINRA records of Hank M. Werner ,  a  currently unlicensed stock broker who was most recently employed by Legend Securities Inc.  , discloses a pending FINRA investigation in which he was charged with…

read more
Enter your
text here

You cannot copy content of this page