• Robert Rex, Esq.

Miguel A. Rabio-Former State Farm VP Management Corp. Broker Barred from FINRA-Discloses Regulatory Event and Termination-El Paso, TX
Miguel A. Rabio-Former State Farm VP Management Corp. Broker Barred from FINRA-Discloses Regulatory Event and Termination-El Paso, TX 150 150 Robert Rex, Esq.

April 2020- El Paso, TX The FINRA records of Miguel Angel Rabio, a broker previously employed  by  State Farm VP Management Corp. , disclose  a regulatory event resulting in his bar from the…

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  • Robert Rex, Esq.

Sofia T. Gonzalez-Former Merrill LynchBroker- Discloses 2 Regulatory Events and Termination-Houston, TX
Sofia T. Gonzalez-Former Merrill LynchBroker- Discloses 2 Regulatory Events and Termination-Houston, TX 150 150 Robert Rex, Esq.

April 2020-Houston, TX According to publicly available records.  Sofia T. Gonzalez (CRD#6243469), a  former stockbroker who last worked for Merrill Lynch, Pierce, Fenner & Smith Incorporated discloses 2 regulatory events, …

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  • Robert Rex, Esq.

Stephen Encino-Former NYLife Securities Broker Barred from Securities Industry-San Antonio, TX
Stephen Encino-Former NYLife Securities Broker Barred from Securities Industry-San Antonio, TX 150 150 Robert Rex, Esq.

April 2020-San Antonio, TX The FINRA records of Stephen A. Encino, a broker previously employed  by  NYLife Securities, disclose  a regulatory event resulting in his bar from the securities industry. The Financial…

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  • Robert Rex, Esq.

Mauricio Borja- Former Allstate Financial Services Broker Barred From Securities Industry-McAllen, TX
Mauricio Borja- Former Allstate Financial Services Broker Barred From Securities Industry-McAllen, TX 150 150 Robert Rex, Esq.

April 2020-McAllen, TX The FINRA records of Mauricio Borja, a broker previously employed  by  Allstate Financial Services, disclose  a regulatory event resulting in his bar from the securities industry. The Financial Industry…

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  • Robert Rex, Esq.

James Kearney-Former Raymond James Broker-Discharged for Trading Without Permission-Houston, TX
James Kearney-Former Raymond James Broker-Discharged for Trading Without Permission-Houston, TX 150 150 Robert Rex, Esq.

April 2020-Houston, TX According to publicly available records of James Joseph Kearney (CRD#265734) ,  a  former stockbroker who last worked for Raymond, James & Associates,  discloses  a regulatory event,  3 customer…

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  • Robert Rex, Esq.

Clayton Wertz-Former First Financial Equity Broker-Barred from Securities Industry-Dallas, TX
Clayton Wertz-Former First Financial Equity Broker-Barred from Securities Industry-Dallas, TX 150 150 Robert Rex, Esq.

April 2020-Dallas, TX The FINRA records of Clayton H. Wertz, a broker last employed  in the securities industry by First Canterbury Securities, Inc., disclose  a regulatory event resulting in his bar…

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  • Robert Rex, Esq.

Linan Abrego-Former Merrill Lynch Broker-Barred from FINRA-Misappropriation of Client Funds- McAllen, TX
Linan Abrego-Former Merrill Lynch Broker-Barred from FINRA-Misappropriation of Client Funds- McAllen, TX 150 150 Robert Rex, Esq.

April 2020- McAllen, TX The FINRA records of Ma Rosa Linan Abrego, a broker previously employed  by  Merrill Lynch, Pierce, Fenner & Smith, Incorporated disclose a regulatory event resulting in a…

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  • Robert Rex, Esq.

Robert Renteria- Former PFS Investments Financial Advisor-Terminated for Borrowing From Customer-El Paso, TX
Robert Renteria- Former PFS Investments Financial Advisor-Terminated for Borrowing From Customer-El Paso, TX 150 150 Robert Rex, Esq.

April 2020-El Paso, TX According to publicly available records of Robert Renteria (CRD#5773053) ,  a broker formerly employed with PFS Investments, Inc., discloses a regulatory event, a settled customer dispute and…

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  • Robert Rex, Esq.

John L. Mitchell-Titan Securities Broker-Discloses Customer Disputes – Addison, TX
John L. Mitchell-Titan Securities Broker-Discloses Customer Disputes – Addison, TX 150 150 Robert Rex, Esq.

April 2020-Addison, TX According to publicly available records of John Leighton Mitchell (CRD#336967) ,  a broker with Titan Securities, discloses one final and three currently pending customer disputes. The Financial Industry…

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  • Robert Rex, Esq.

Ramon Esparza-Former Mutual of Omaha Financial Advisor-Barred from Securities Industry-McAllen, TX
Ramon Esparza-Former Mutual of Omaha Financial Advisor-Barred from Securities Industry-McAllen, TX 150 150 Robert Rex, Esq.

April  2020- McAllen, TX The FINRA records of Ramon Esparza  , a broker previously employed  by  Mutual of Omaha Investor Services, Inc. , disclose a regulatory event resulting in his bar from the securities industry and…

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