• Robert Rex, Esq.

Ronald D. Henson-Former Voya Financial Broker-Discloses Discharge From Employment
Ronald D. Henson-Former Voya Financial Broker-Discloses Discharge From Employment 150 150 Robert Rex, Esq.

January 2017- Longview, Texas According to publicly available records Ronald D. Henson , (CRD# 1748328) ,  a  stockbroker who is currently employed by LaSalle St. Securities,  disclose a separation from employment after allegations. The…

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  • Robert Rex, Esq.

Paul R. Nitz-H D Vest Broker-Discloses Pending Customer Arbitration-Woodlands, TX
Paul R. Nitz-H D Vest Broker-Discloses Pending Customer Arbitration-Woodlands, TX 150 150 Robert Rex, Esq.

January 2017-The Woodlands, Texas According to publicly available records Paul R. Nitz, (CRD# 2260178) ,  a  stockbroker currently employed by HD Vest Investment Services ,  discloses a pending customer dispute. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Renee R. Fields-Former Ameriprise Broker- Discloses Separation From Employment-Dallas, TX
Renee R. Fields-Former Ameriprise Broker- Discloses Separation From Employment-Dallas, TX 150 150 Robert Rex, Esq.

January 2017-Dallas, Texas The FINRA records of  Renee Rochelle Fields,  a  stockbroker currently employed by Sagepoint Financial disclose a  separation from employment after allegations. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses…

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  • Robert Rex, Esq.

Steven W. Shirley-IMS Securities Stockbroker-Discloses Pending Customer Dispute-Friendswood, TX
Steven W. Shirley-IMS Securities Stockbroker-Discloses Pending Customer Dispute-Friendswood, TX 150 150 Robert Rex, Esq.

January 2017-Friendswood, Texas The FINRA records of  Steven W. Shirley,  a  stockbroker with IMS Securities disclose a  a currently pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates…

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  • Robert Rex, Esq.

Stacey L. Rognon-IMS Securities Stockbroker-Discloses Customer Dispute-Houston, TX
Stacey L. Rognon-IMS Securities Stockbroker-Discloses Customer Dispute-Houston, TX 150 150 Robert Rex, Esq.

January 2017-Houston, Texas The FINRA records of  Stacey Lee Rognon,  a  stockbroker with IMS Securities disclose a  a currently pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates…

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  • Robert Rex, Esq.

Wesley Woodyard Pleads Guilty in $4.6M Fraud Scheme-Dallas,TX
Wesley Woodyard Pleads Guilty in $4.6M Fraud Scheme-Dallas,TX 150 150 Robert Rex, Esq.

December 2016-Dallas, Texas Wesley Michael Woodyard, 65, pleaded guilty to one count of wire fraud in connection with a $4.6 million fraudulent scheme involving Ace European Insurance Company (ACE). According…

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  • Robert Rex, Esq.

Michael Delao-Former Century Securities Broker-Sanctioned by Texas Securities Regulators
Michael Delao-Former Century Securities Broker-Sanctioned by Texas Securities Regulators 150 150 Robert Rex, Esq.

December 2016-Georgetown, Texas The FINRA records of  Michael Ramon Delao,  a  stockbroker with St. Bernard Financial Services , disclose a recently regulatory event , a prior customer dispute and 2 terminations. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

John Simpson-Former RBC Capital Markets Broker-Discloses $11M Customer Suit
John Simpson-Former RBC Capital Markets Broker-Discloses $11M Customer Suit 150 150 Robert Rex, Esq.

December 2016-Hunt Valley, MD The FINRA records of  John Scott Simpson,  a  stockbroker who formerly worked for RBC Capital Markets, was permanently barred from acting as a broker or otherwise associating with firms that…

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  • Robert Rex, Esq.

Tye Williams-Former NEXT Financial Broker- Barred From Securities Industry-Frisco, TX
Tye Williams-Former NEXT Financial Broker- Barred From Securities Industry-Frisco, TX 150 150 Robert Rex, Esq.

September 2016-Frisco, Texas Tye Williams, a stockbroker who formerly worked for NEXT Financial Group was barred by the Financial Industry Regulatory Authority (FINRA) from acting as a broker or otherwise…

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  • Robert Rex, Esq.

How to Recover Losses on Payson Petroleum Investments
How to Recover Losses on Payson Petroleum Investments 150 150 Robert Rex, Esq.

November 2016 -Dallas, Texas Matthew Carl Griffin and his brother William Daniel Griffin were named in a civil action filed by the Securities and Exchange Commission (SEC) charging them with…

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