• Robert Rex, Esq.

Donna Barnard-Former Signal Securities Broker-Subject of $4M Woodbridge Fund Suits-Kilgore, TX
Donna Barnard-Former Signal Securities Broker-Subject of $4M Woodbridge Fund Suits-Kilgore, TX 150 150 Robert Rex, Esq.

May 2018- Kilgore, TX The FINRA records of  Donna L. Barnard ,  a  stock broker formerly employed by HD Vest Investment Services and Signal Securities,  disclose  10  pending customer disputes involving the allegedly fraudulent Woodbridge Mortgage Investment…

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  • Robert Rex, Esq.

Bill Downing-Former J.W. Cole Financial Broker-Discloses Customer Dispute & Bar From Securities Industry-Wimberley, Texas
Bill Downing-Former J.W. Cole Financial Broker-Discloses Customer Dispute & Bar From Securities Industry-Wimberley, Texas 150 150 Robert Rex, Esq.

February 2019-Wimberley, Texas The FINRA records of  William (Bill) Glenn Downing ,  a  former stock broker who was last employed by Coastal Equities Inc.  disclose  a prior regulator event, a pending customer dispute,…

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  • Robert Rex, Esq.

Lewis (Buddy) Rogers-Raymond James Broker-Former Client Awarded Over $250K For Unsuitable MLP Investments-Dallas, TX
Lewis (Buddy) Rogers-Raymond James Broker-Former Client Awarded Over $250K For Unsuitable MLP Investments-Dallas, TX 150 150 Robert Rex, Esq.

March 2018-Dallas, Texas Lewis H. Rogers, a broker who has worked for Raymond James & Associates since 2/2013, discloses on his FINRA records that an all public FINRA arbitration panel…

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  • Robert Rex, Esq.

Michael J Blake-Former Ameritas Investment Corp. Broker-Disclose Numerous Customer Disputes Over Promissory Note Sales-Paradise Valley, AZ
Michael J Blake-Former Ameritas Investment Corp. Broker-Disclose Numerous Customer Disputes Over Promissory Note Sales-Paradise Valley, AZ 150 150 Robert Rex, Esq.

March 2018-Paradise Valley, AZ The FINRA records of  Michael J. Blake ,  a  stockbroker who is currently unregistered and who last was employed by  Mid Atlantic Capital Corp. disclose 2 prior regulatory…

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  • Robert Rex, Esq.

Walter W. Parker-Titan Securities Broker-Discloses Settlements of Customer Suits and a Regulatory Investigation-Rowlett, Texas
Walter W. Parker-Titan Securities Broker-Discloses Settlements of Customer Suits and a Regulatory Investigation-Rowlett, Texas 150 150 Robert Rex, Esq.

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

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  • Robert Rex, Esq.

Melvin S. Jacobs-Former Merrill Lynch Broker-Discloses Termination for Selling Unauthorized Investments-Houston, TX
Melvin S. Jacobs-Former Merrill Lynch Broker-Discloses Termination for Selling Unauthorized Investments-Houston, TX 150 150 Robert Rex, Esq.

March 2018 – Houston, TX According to publicly available records , Melvin (“Mel”) S. Jacobs , (CRD# 1361940) ,  a  stockbroker who was previously employed by Merrill Lynch, Pierce, Fenner & Smith,  disclose  that he…

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  • Robert Rex, Esq.

Barrett O. Schultz-McNally Financial Services Broker-Discloses Settlement of Customer Suits-San Antonio, TX
Barrett O. Schultz-McNally Financial Services Broker-Discloses Settlement of Customer Suits-San Antonio, TX 150 150 Robert Rex, Esq.

May  2020- San Antonio, TX According to publicly available records Barrett Oliver Schultz (aka Barrett Creed)  , (CRD# 2741114) ,  a  stockbroker who is employed by McNally Financial Services,  discloses  two recently settled…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates McNally Financial Services Corp. Broker David McNally
Rex Securities Law Investment Fraud Attorney Investigates McNally Financial Services Corp. Broker David McNally 150 150 Robert Rex, Esq.

Last Updated: January 2024 (San Antonio, Texas) David McNally Investigation Summary Here’s what you need to know about San Antonio, TX, stockbroker David McNally: Name: Mr. David Dorn McNally Current…

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  • Robert Rex, Esq.

Steven Yellen-Former Ameriprise Broker-Suspended by Securities Regulator-El Paso, Texas
Steven Yellen-Former Ameriprise Broker-Suspended by Securities Regulator-El Paso, Texas 150 150 Robert Rex, Esq.

November 2019 – El Paso, Texas According to publicly available records Steven T. Yellen , (CRD# 1281663) ,  a  stockbroker who is currently suspended and who was last employed by Ameriprise Financial…

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  • Robert Rex, Esq.

Walt Parker-Former Titan Securities Broker-Subject of Numerous UDF Suits & Regulatory Suspension – Rowlett , Texas
Walt Parker-Former Titan Securities Broker-Subject of Numerous UDF Suits & Regulatory Suspension – Rowlett , Texas 150 150 Robert Rex, Esq.

January 2020-Rowlett, Texas The FINRA records of  Walter (Walt) Parker ,  a  currently unregistered  broker who was last employed by  Titan Securities  disclose a recent regulatory matter,  2 pending customer disputes  and 11 prior…

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