• Robert Rex, Esq.

Douglas Hardwick-Former Texas Securities Broker-Sanctioned for Sale of Oil & Gas Investments
Douglas Hardwick-Former Texas Securities Broker-Sanctioned for Sale of Oil & Gas Investments 150 150 Robert Rex, Esq.

May 2017 – Carrollton, TX According to publicly available records Douglas R. Hardwick  (CRD#4522610) ,  a  stockbroker currently not registered, but who was previously registered with  Texas Securities, Inc.,  discloses a pending regulatory…

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  • Robert Rex, Esq.

Investigation of NEXT Financial Group Brokers Alleged to Have Converted Customer Funds-West Palm Beach, FL
Investigation of NEXT Financial Group Brokers Alleged to Have Converted Customer Funds-West Palm Beach, FL 150 150 Robert Rex, Esq.

May 2017-Houston, Texas In connection with a currently pending lawsuit, we are investigating thefts from customer accounts by brokers who were affiliated with NEXT Financial Group, a FINRA registered broker…

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  • Robert Rex, Esq.

Darren McFadden-Cowboy Running Back- Files Lawsuit Against Ameriprise Financial
Darren McFadden-Cowboy Running Back- Files Lawsuit Against Ameriprise Financial 150 150 Robert Rex, Esq.

May 2017- Dallas, TX According to an article in the StarTribune, Darren McFadden, Dallas Cowboy running back , has filed a lawsuit against Ameriprise Financial, alleging that his broker, Michael Eugene Vick,…

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  • Robert Rex, Esq.

Nemelee Liwanag Jiao Indicted for Fraud-Philippine School Ponzi Scheme-Dallas, TX
Nemelee Liwanag Jiao Indicted for Fraud-Philippine School Ponzi Scheme-Dallas, TX 150 150 Robert Rex, Esq.

April 2017-Dallas, TX Nemelee Liwanag Jiao, 47, of Irving, Texas, was indicted on two counts of wire fraud for operating a Ponzi scheme that bilked 35 people out of at…

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  • Robert Rex, Esq.

Joe L. Buckner-Former Brazos Securities Broker-Barred From Industry by FINRA-Dallas, TX
Joe L. Buckner-Former Brazos Securities Broker-Barred From Industry by FINRA-Dallas, TX 150 150 Robert Rex, Esq.

May 2017- Dallas, TX The FINRA records of  Joe L. Buckner,  a  former stockbroker who was last employed by  Brazos Securities discloses a prior regulatory event, a pending customer dispute, a regulatory investigation and a termination from…

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  • Robert Rex, Esq.

RIcky R. Moore-Sagepoint Financial Broker-Discloses Regulatory Suspension/Fine-Angleton, TX
RIcky R. Moore-Sagepoint Financial Broker-Discloses Regulatory Suspension/Fine-Angleton, TX 150 150 Robert Rex, Esq.

May 2017-Angleton, TX The FINRA records of RIcky R. Moore,  a  stockbroker who is employed by  Sagepoint Financial  disclose a final regulatory event, 3 prior customer disputes and a termination from employment. The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

John Carolyn-UBS Financial Broker-Subject of Numerous Customer Arbitrations Involving Oil & Gas Investments-Houston, TX
John Carolyn-UBS Financial Broker-Subject of Numerous Customer Arbitrations Involving Oil & Gas Investments-Houston, TX 150 150 Robert Rex, Esq.

May 2017-Houston, TX The FINRA records of John Carolyn,  a  stockbroker who is employed by  UBS Financial Services  disclose 5 pending customer disputes involving oil and gas securities  and one prior customer dispute. The Financial Industry…

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  • Robert Rex, Esq.

James D. Calder II-Former Raymond James Broker-Sanctioned Over Sale of Life Settlements-Borger, TX
James D. Calder II-Former Raymond James Broker-Sanctioned Over Sale of Life Settlements-Borger, TX 150 150 Robert Rex, Esq.

May 2017-Borger, TX The FINRA records of  James D. Calder II,  a  unregistered stockbroker who was last employed by  Raymond James Financial Services  disclose a final regulatory event and a customer dispute that has been settled.…

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  • 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…

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  • Robert Rex, Esq.

Patrick D. Combs-Former Morgan Stanley Broker-Discloses Customer Dispute and Suspension by FINRA-Southlake, TX
Patrick D. Combs-Former Morgan Stanley Broker-Discloses Customer Dispute and Suspension by FINRA-Southlake, TX 150 150 Robert Rex, Esq.

May 2017-Southlake, TX The FINRA records of  Patrick D. Combs  ,  a  stockbroker who is currently suspended by FINRA and who was last registered with IMS Securities disclose a pending customer dispute, a final regulatory event…

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