• Robert Rex, Esq.

Stephen Encino-Former NYLife Securities Broker Barred from Securities Industry-San Antonio, TX
Stephen Encino-Former NYLife Securities Broker Barred from Securities Industry-San Antonio, TX 150 150 Robert Rex, Esq.

April 2020-San Antonio, TX The FINRA records of Stephen A. Encino, a broker previously employed  by  NYLife Securities, disclose  a regulatory event resulting in his bar from the securities industry. The Financial…

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  • Robert Rex, Esq.

Mauricio Borja- Former Allstate Financial Services Broker Barred From Securities Industry-McAllen, TX
Mauricio Borja- Former Allstate Financial Services Broker Barred From Securities Industry-McAllen, TX 150 150 Robert Rex, Esq.

April 2020-McAllen, TX The FINRA records of Mauricio Borja, a broker previously employed  by  Allstate Financial Services, disclose  a regulatory event resulting in his bar from the securities industry. The Financial Industry…

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  • Robert Rex, Esq.

James Kearney-Former Raymond James Broker-Discharged for Trading Without Permission-Houston, TX
James Kearney-Former Raymond James Broker-Discharged for Trading Without Permission-Houston, TX 150 150 Robert Rex, Esq.

April 2020-Houston, TX According to publicly available records of James Joseph Kearney (CRD#265734) ,  a  former stockbroker who last worked for Raymond, James & Associates,  discloses  a regulatory event,  3 customer…

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  • Robert Rex, Esq.

Clayton Wertz-Former First Financial Equity Broker-Barred from Securities Industry-Dallas, TX
Clayton Wertz-Former First Financial Equity Broker-Barred from Securities Industry-Dallas, TX 150 150 Robert Rex, Esq.

April 2020-Dallas, TX The FINRA records of Clayton H. Wertz, a broker last employed  in the securities industry by First Canterbury Securities, Inc., disclose  a regulatory event resulting in his bar…

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  • Robert Rex, Esq.

Linan Abrego-Former Merrill Lynch Broker-Barred from FINRA-Misappropriation of Client Funds- McAllen, TX
Linan Abrego-Former Merrill Lynch Broker-Barred from FINRA-Misappropriation of Client Funds- McAllen, TX 150 150 Robert Rex, Esq.

April 2020- McAllen, TX The FINRA records of Ma Rosa Linan Abrego, a broker previously employed  by  Merrill Lynch, Pierce, Fenner & Smith, Incorporated disclose a regulatory event resulting in a…

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  • Robert Rex, Esq.

Robert Renteria- Former PFS Investments Financial Advisor-Terminated for Borrowing From Customer-El Paso, TX
Robert Renteria- Former PFS Investments Financial Advisor-Terminated for Borrowing From Customer-El Paso, TX 150 150 Robert Rex, Esq.

April 2020-El Paso, TX According to publicly available records of Robert Renteria (CRD#5773053) ,  a broker formerly employed with PFS Investments, Inc., discloses a regulatory event, a settled customer dispute and…

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  • Robert Rex, Esq.

John L. Mitchell-Titan Securities Broker-Discloses Customer Disputes – Addison, TX
John L. Mitchell-Titan Securities Broker-Discloses Customer Disputes – Addison, TX 150 150 Robert Rex, Esq.

April 2020-Addison, TX According to publicly available records of John Leighton Mitchell (CRD#336967) ,  a broker with Titan Securities, discloses one final and three currently pending customer disputes. The Financial Industry…

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  • Robert Rex, Esq.

Ramon Esparza-Former Mutual of Omaha Financial Advisor-Barred from Securities Industry-McAllen, TX
Ramon Esparza-Former Mutual of Omaha Financial Advisor-Barred from Securities Industry-McAllen, TX 150 150 Robert Rex, Esq.

April  2020- McAllen, TX The FINRA records of Ramon Esparza  , a broker previously employed  by  Mutual of Omaha Investor Services, Inc. , disclose a regulatory event resulting in his bar from the securities industry and…

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  • Robert Rex, Esq.

Stock Market Losses? –How to Recover Investment Losses Resulting From the COVID 19 Pandemic
Stock Market Losses? –How to Recover Investment Losses Resulting From the COVID 19 Pandemic 150 150 Robert Rex, Esq.

April 2020 Retirees and Those Anticipating Retirement In the Near Term Financial advisors are charged with a duty to make “suitable recommendations” to their customers. For those anticipating retirement in…

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  • Robert Rex, Esq.

Cecil Allen Ross-Former LPL Financial Broker-Discloses Regulatory Event and Customer Dispute-San Angelo, TX
Cecil Allen Ross-Former LPL Financial Broker-Discloses Regulatory Event and Customer Dispute-San Angelo, TX 150 150 Robert Rex, Esq.

April 2020-San Angelo, TX According to publicly available records of Cecil Allen Ross (CRD#2391047) ,  a  former stockbroker who last worked for LPL Financial,  discloses  a regulatory event and a customer…

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