• Robert Rex, Esq.

Masood (Mike) Azad-Former First Allied Broker-Sanctioned by Securities Regulator-League City, TX
Masood (Mike) Azad-Former First Allied Broker-Sanctioned by Securities Regulator-League City, TX 150 150 Robert Rex, Esq.

April 2018 -League City, TX According to FINRA records, Masood (Mike) Husain Azad,  a   former stockbroker who was last employed by First Allied Securities, disclose  a prior regulatory event and a…

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  • Robert Rex, Esq.

Losses on Triloma Funds ? Options for Recovery.
Losses on Triloma Funds ? Options for Recovery. 150 150 Robert Rex, Esq.

April 2018 Investors who have suffered losses on investments in the Triloma EIG Energy Income Fund or the Triloma Energy Income Fund  EIG Term 1, may be  able to recover…

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  • Robert Rex, Esq.

Arshad Hussain-Former NEXT Financial Broker-Discharged by NEXT Financial for Improper Trading-Jasper, Alabama
Arshad Hussain-Former NEXT Financial Broker-Discharged by NEXT Financial for Improper Trading-Jasper, Alabama 150 150 Robert Rex, Esq.

April 2018 -Jasper, Alabama According to FINRA records, Arshad Hussain ,  a currently unregistered  stockbroker who formerly was employed by NEXT Financial Group, disclose 3 prior customer disputes, two terminations from employment and…

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  • Robert Rex, Esq.

David Lancaster-Former Edward Jones Broker-Subject of Investigation for Unauthorized Trading-Wagoner, OK
David Lancaster-Former Edward Jones Broker-Subject of Investigation for Unauthorized Trading-Wagoner, OK 150 150 Robert Rex, Esq.

July 2019 -Wagoner, OK According to FINRA records, William David Lancaster ,  a  stockbroker who formerly was employed by Edward Jones, disclose a prior regulatory investigation, a prior customer dispute, a  and…

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  • Robert Rex, Esq.

Jim Clark-Worth Finanical Group Broker-Discloses Settlement of Customer Suit For Mishandling Account-Dallas, TX
Jim Clark-Worth Finanical Group Broker-Discloses Settlement of Customer Suit For Mishandling Account-Dallas, TX 150 150 Robert Rex, Esq.

April 2018 -Dallas, Texas According to publicly available records James  (Jim) Williard Clark ,  a  stockbroker who currently is employed by Worth Financial Group, disclose 4 prior regulatory issues, and  2 arbitration awards…

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  • Robert Rex, Esq.

Keith Fontenot-Wells Fargo Stockbroker-Discloses Settlement of Customer Suits-Lafayette, LA
Keith Fontenot-Wells Fargo Stockbroker-Discloses Settlement of Customer Suits-Lafayette, LA 150 150 Robert Rex, Esq.

April 2018 -Lafayette, LA According to publicly available records Keith A. Fontenot  (CRD#2296303) ,  a  stockbroker who currently is employed by Wells Fargo Clearing Services, disclose settlements in 2 customer disputes. The Financial…

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  • Robert Rex, Esq.

Joseph I. Yanofsky-Former Merrill Broker-Subject of $2.2M Customer Dispute-Greenwood, CO
Joseph I. Yanofsky-Former Merrill Broker-Subject of $2.2M Customer Dispute-Greenwood, CO 150 150 Robert Rex, Esq.

April 2018-Greenwood Village, Colorado According to FINRA records, former Merrill Lynch broker Joseph I. Yanofsky , discloses a recent regulatory suspension, a pending customer dispute, a termination from employment and 8 prior customer disputes that…

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  • Robert Rex, Esq.

Cryptocurrency Offerings Targeted by Texas Securities Regulators
Cryptocurrency Offerings Targeted by Texas Securities Regulators 150 150 Robert Rex, Esq.

April 2018- Austin, Texas The Texas State Securities Board (TSSB) found widespread fraud in cryptocurrency offerings that were tied to virtual currencies and has issued a 14 page report which…

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  • Robert Rex, Esq.

How to Recover Losses on Reef Oil and Gas Fund Investments
How to Recover Losses on Reef Oil and Gas Fund Investments 150 150 Robert Rex, Esq.

April 2018-Richardson, TX Reef Securities Inc. and its owner and president Frank Mauceli were sanctioned by FINRA on April 11, 2018, for failing to timely notify investors in an Oil…

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  • Robert Rex, Esq.

Gary Haack-Former Corecap Investments Broker-Discloses Settlement of Customer Dispute-San Antonio, TX
Gary Haack-Former Corecap Investments Broker-Discloses Settlement of Customer Dispute-San Antonio, TX 150 150 Robert Rex, Esq.

April 2018- San Antonio, Texas According to publicly available records Gary C. Haack  (CRD#2796834) ,  a  stockbroker who is not currently registered with any broker dealer and who was last employed by…

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