• Robert Rex, Esq.

Dion R. Padilla-NEXT Financial Group Broker-Sanctioned Over Annuity Sales
Dion R. Padilla-NEXT Financial Group Broker-Sanctioned Over Annuity Sales 150 150 Robert Rex, Esq.

May 2019 UPDATE- Dion Padilla/ AT&T Retirement Account investigation. See this for details.   ORIGINAL POST-July 2016- San Antonio, Texas The FINRA records of Dion R. Padilla  , a stock broker currently employed by NEXT…

read more
  • Robert Rex, Esq.

Andrew D. Tomlinson-Geneos Wealth Broker-Discloses $300,000 Customer Dispute
Andrew D. Tomlinson-Geneos Wealth Broker-Discloses $300,000 Customer Dispute 150 150 Robert Rex, Esq.

July 2016- Prescott, AZ The FINRA records of Andrew D. Tomlinson III  , a stock broker currently employed by Geneos Wealth Management , disclose 3 prior final customer disputes and a currently pending customer dispute .…

read more
  • Robert Rex, Esq.

Ray G. Reese-Money Capital Concepts Broker-Discloses Customer Settlement Over Oil & Gas Investment-Farmington, MO
Ray G. Reese-Money Capital Concepts Broker-Discloses Customer Settlement Over Oil & Gas Investment-Farmington, MO 150 150 Robert Rex, Esq.

July 2020- Farmington, MO The FINRA records of Ray G. Reese  , a stock broker currently employed by Money Concepts Capital Corp , disclose  2 pending and  3 prior final customer disputes. The Financial Industry Regulatory Authority…

read more
  • Robert Rex, Esq.

Marcus Schrenker-Fraudster Who Faked Death-Featured in Financial Fraud Documentary
Marcus Schrenker-Fraudster Who Faked Death-Featured in Financial Fraud Documentary 150 150 Robert Rex, Esq.

Indianapolis The Times, www.NWI.com reports that Marcus Schrenker, a native of Merrillville who faked his own death in 2009 in an attempt to avoid state and federal  fraud investigations is…

read more
  • Robert Rex, Esq.

Tonya M. White-Former Edward Jones Broker-Permanently Barred From Securities Industry
Tonya M. White-Former Edward Jones Broker-Permanently Barred From Securities Industry 150 150 Robert Rex, Esq.

Oklahoma City, OK According to FINRA records,  Tonya M. White (aka Tonya M. Nix)  ,   a stockbroker who formerly worked for Edward Jones  discloses a final regulatory matter and a separation from employment after…

read more
  • Robert Rex, Esq.

Eric W. Harding-Former Wells Fargo Broker-Discloses Terminations-Scottsdale, AZ
Eric W. Harding-Former Wells Fargo Broker-Discloses Terminations-Scottsdale, AZ 150 150 Robert Rex, Esq.

UPDATE APRIL 2017–United Planners Financial Services of America discloses that Eric W. Harding was discharged 10/2016 for “Failure to follow firm procedures and repay amounts owed to the firm.” ORIGINAL…

read more
  • Robert Rex, Esq.

Marvin T. Petty-United Planners Broker-Discloses Customer Dispute
Marvin T. Petty-United Planners Broker-Discloses Customer Dispute 150 150 Robert Rex, Esq.

Fort Worth, Texas According to FINRA records,  Marvin T. Petty, Jr. ,  a stockbroker  who works for United Planners Financial Services ,  discloses  a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that…

read more
  • Robert Rex, Esq.

Murray B. Roark-Wunderlich Securities Broker-Discloses Pending Customer Dispute Over Energy Investments
Murray B. Roark-Wunderlich Securities Broker-Discloses Pending Customer Dispute Over Energy Investments 150 150 Robert Rex, Esq.

Dallas, Texas According to FINRA records,  Murray B. Roark,  a stockbroker  who works for Wunderlich Securities ,  discloses  a pending customer dispute and  three prior final customer disputes. The Financial Industry Regulatory Authority (FINRA) is the…

read more
  • Robert Rex, Esq.

Rhonda J. Matthews-Former Prospera Financial Broker-Discloses Suspension
Rhonda J. Matthews-Former Prospera Financial Broker-Discloses Suspension 150 150 Robert Rex, Esq.

Austin, Texas According to FINRA records,  Rhonda Janeen Matthews (aka Rhonda Allen)  ,  a former stockbroker  who most recently worked  for Prospera Financial Services , discloses  a  regulatory event, a termination and 2 outstanding…

read more
  • Robert Rex, Esq.

Charles L. Evans-Former RBC Capital Broker-Discloses Termination and Regulatory Event
Charles L. Evans-Former RBC Capital Broker-Discloses Termination and Regulatory Event 150 150 Robert Rex, Esq.

Plano, Texas According to FINRA records,  Charles L. Evans ,  a stockbroker  who currently works  for Prospera Financial Services , discloses  a  termination from employment and one final regulatory event. The Financial Industry Regulatory…

read more
Enter your
text here

You cannot copy content of this page