• Robert Rex, Esq.

Justin Mitchell- Capital Financial Services Broker-Discloses Investigation & Termination-Baton Rouge, LA
Justin Mitchell- Capital Financial Services Broker-Discloses Investigation & Termination-Baton Rouge, LA 150 150 Robert Rex, Esq.

February 2019 – Baton Rouge, LA According to publicly available records  Justin Brian Mitchell (CRD# 5177794) ,  a   stockbroker currently employed by Capital Financial Services who was previously employed by LPL Financial,…

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  • Robert Rex, Esq.

Cheryl Stallings-Former LPL Financial Broker-Discloses Regulatory Action and Termination From Employment, Amarillo, TX
Cheryl Stallings-Former LPL Financial Broker-Discloses Regulatory Action and Termination From Employment, Amarillo, TX 150 150 Robert Rex, Esq.

February  2019 – Amarillo, Texas According to public records of Cheryl Ann Stallings (formerly Cheryl Ann Bledsoe) (CRD#1162913)  a  former stockbroker with LPL Financial, discloses a regulatory event and a termination from…

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  • Robert Rex, Esq.

Brandon Long-Former BCG Securities Broker-Discloses Customer Suits & Regulatory Actions-Roswell, GA
Brandon Long-Former BCG Securities Broker-Discloses Customer Suits & Regulatory Actions-Roswell, GA 150 150 Robert Rex, Esq.

February  2019 – Roswell, GA According to public records of Brandon P. Long (CRD#5975459)  a  stockbroker previously employed by BCG Securities,  Inc., discloses a regulatory event, a civil event, 3 customer…

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  • Robert Rex, Esq.

Kestra Investment Services Assessed Regulatory Fine Over Mutual Fund Sales-Austin, TX
Kestra Investment Services Assessed Regulatory Fine Over Mutual Fund Sales-Austin, TX 150 150 Robert Rex, Esq.

February 2019 – Austin, Texas FINRA recently sanctioned Austin-based Kestra Investment Services (formerly NFP Advisor Services) for over charging more than 3,000 who qualified for waiver of front end sales…

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  • Robert Rex, Esq.

Matt Streif-UBS Financial Broker-Discloses $350K Customer Settlement-Austin,TX
Matt Streif-UBS Financial Broker-Discloses $350K Customer Settlement-Austin,TX 150 150 Robert Rex, Esq.

January 2019, Austin, TX According to publicly available records  Matthew T. Streif, a stockbroker registered with UBS Financial Services , discloses a customer dispute that was resolved by a  cash settlement…

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  • Robert Rex, Esq.

Trevor Carney-Ascendant Alternative Strategies Broker-Discloses Regulatory Event-Austin, TX
Trevor Carney-Ascendant Alternative Strategies Broker-Discloses Regulatory Event-Austin, TX 150 150 Robert Rex, Esq.

January 2019 – Austin, TX According to publicly available records Trevor Martin Carney  (CRD#5657735) ,  a  stockbroker who is currently registered with Ascendant Alternative Strategies ,  disclose a Regulatory Event and two currently outstanding judgment/liens.…

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  • Robert Rex, Esq.

Justin Montandon-Ameriprise Broker-Discloses Regulatory Event and 2 Customer Disputes-Austin, TX
Justin Montandon-Ameriprise Broker-Discloses Regulatory Event and 2 Customer Disputes-Austin, TX 150 150 Robert Rex, Esq.

January  2019 – Austin, TX According to public records of Justin  A. Montandon  (CRD#4455879)  a  stockbroker employed by Ameriprise Financial Services, Inc., discloses a regulatory event, a customer dispute settlement. The…

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  • Robert Rex, Esq.

Omar Richardson-Charles Schwab Broker-Discloses Pending Customer Suit-Austin, TX
Omar Richardson-Charles Schwab Broker-Discloses Pending Customer Suit-Austin, TX 150 150 Robert Rex, Esq.

January 2019 – Austin, TX According to publicly available records  Omar Charles Richardson , a stockbroker who is currently registered with  Charles Schwab & Co., Inc., discloses  a pending customer dispute The…

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  • Robert Rex, Esq.

Doug Maurer-Ascendant Alternative Strategies Broker-Discloses $5.975 Million Settlement-Laguna Niguel, CA 
Doug Maurer-Ascendant Alternative Strategies Broker-Discloses $5.975 Million Settlement-Laguna Niguel, CA  150 150 Robert Rex, Esq.

November 2020, Laguna Niguel, CA According to publicly available records  Aaron Douglas (Doug) Maurer , a stockbroker previoiusly registered with Ascendant Alternative Strategies & RP Capital , discloses a prior customer…

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  • Robert Rex, Esq.

Philip Rosensweig-Former Laidlaw & Co. Broker-Discloses Numerous Customer Suits-Boca Raton, FL
Philip Rosensweig-Former Laidlaw & Co. Broker-Discloses Numerous Customer Suits-Boca Raton, FL 150 150 Robert Rex, Esq.

January 2019- Boca Raton, FL According to publicly available records  Philip E. Rosensweig , a stockbroker who formerly was registered with Laidlaw & Co. and who is currently employed by Westpark…

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