• Robert Rex, Esq.

Neal Moon-Former Waddell & Reed Broker-Discloses Settlement and Termination from Employment-Dallas, TX
Neal Moon-Former Waddell & Reed Broker-Discloses Settlement and Termination from Employment-Dallas, TX 150 150 Robert Rex, Esq.

April 2017-Dallas, TX  According to publicly available records Neal Charles Moon, (CRD#3271716) ,  a  stockbroker who is not currently registered and who last was employed by  Waddell & Reed  discloses a prior regulatory event, a prior…

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  • Robert Rex, Esq.

Leslie R. Rosenblatt of Texas Financial Resources Discloses Customer Dispute/Termination of Employment-Plano, TX
Leslie R. Rosenblatt of Texas Financial Resources Discloses Customer Dispute/Termination of Employment-Plano, TX 150 150 Robert Rex, Esq.

April 2017-Plano, TX The FINRA records of  Leslie R. Rosenblatt ,  a  stockbroker who is currently registered with SCF Securities disclose a pending customer dispute and a termination from employment. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Kirk Gill Investigation-Former Morgan Stanley Broker-Settles Numerous Customer Suits-Tucson, AZ
Kirk Gill Investigation-Former Morgan Stanley Broker-Settles Numerous Customer Suits-Tucson, AZ 150 150 Robert Rex, Esq.

April 2019-Tucson, AZ We recently filed an arbitration claim with FINRA on behalf of an Arizona couple who allege that Kirk Gill over concentrated their retirement accounts with energy stocks and made…

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  • Robert Rex, Esq.

Richard T. Lucker-Former Morgan Stanley Broker-Discloses $14M Customer Dispute-El Paso, TX
Richard T. Lucker-Former Morgan Stanley Broker-Discloses $14M Customer Dispute-El Paso, TX 150 150 Robert Rex, Esq.

April 2017-El Paso, Texas The FINRA records of  Richard T. Lucker ,  a  stockbroker who is currently  employed by  Wells Fargo Clearing Services  disclose a pending dispute in which a customer seeks damages in excess of…

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  • Robert Rex, Esq.

Scott V. Kaup-Former VSR Financial Services Broker-Discloses $1M+ Customer Dispute-Stuart, NE
Scott V. Kaup-Former VSR Financial Services Broker-Discloses $1M+ Customer Dispute-Stuart, NE 150 150 Robert Rex, Esq.

April 2017-Stuart, NE The FINRA records of  Scott V. Kaup ,  a  stockbroker who was formerly  employed by  VSR Financial Services  disclose a pending customer dispute involving alternative investments. The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Marcos Yanez-Former LPL Financial Broker-Named in Customer Dispute Over Insurance and Loan-Dallas, TX
Marcos Yanez-Former LPL Financial Broker-Named in Customer Dispute Over Insurance and Loan-Dallas, TX 150 150 Robert Rex, Esq.

April 2017-Dallas, Texas The FINRA records of  Marcos Yanez ,  a   former stockbroker with LPL Financial who is currently not registered with any brokerage firm disclose a pending customer dispute. The…

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  • Robert Rex, Esq.

Thomas P. Smith-Former Titan Securities Broker-Discloses Customer Dispute Over Alternative Investment-Arlington, TX
Thomas P. Smith-Former Titan Securities Broker-Discloses Customer Dispute Over Alternative Investment-Arlington, TX 150 150 Robert Rex, Esq.

April 2017-Arlington, Texas The FINRA records of  Thomas P. Smith ,  a   stockbroker who is currently registered with Center Street Securities disclose a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…

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  • Robert Rex, Esq.

Clyde D. Jones-Titan Securities Broker-Discloses Customer Disputes Over Viatical Settlements-Whitesboro, Texas
Clyde D. Jones-Titan Securities Broker-Discloses Customer Disputes Over Viatical Settlements-Whitesboro, Texas 150 150 Robert Rex, Esq.

MAY 2018 UPDATE–See this for update.  ORIGINAL POST-April 2017-Whitesboro, Texas The FINRA records of  Clyde D. Jones ,  a   stockbroker who is currently registered with Titan Securities disclose 2 pending customer disputes, 2…

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  • Robert Rex, Esq.

Walter Parker-Titan Securities Broker-Discloses Customer Disputes Over UDF Investments-Rowlett, Texas
Walter Parker-Titan Securities Broker-Discloses Customer Disputes Over UDF Investments-Rowlett, Texas 150 150 Robert Rex, Esq.

SEE THIS FOR JANUARY 2020 UPDATE Rowlett, Texas APRIL 2018 UPDATE–Walt Parker suspended in connection with sale of alternative investments, assessed $7,500 fine by FINRA. Read more here.  UPDATE JULY…

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  • Robert Rex, Esq.

Kent Argue – Former Investors Capital Broker- Discloses Customer Dispute – TULSA, OK
Kent Argue – Former Investors Capital Broker- Discloses Customer Dispute – TULSA, OK 150 150 Robert Rex, Esq.

April 2017- Tulsa, OK According to publicly available records Kent L. Argue, (CRD#4482886) ,  a  stockbroker who is currently not registered  and was previously registered with Investors Capital Corp. discloses a settled customer dispute. The…

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