• Robert Rex, Esq.

Mark Reinking-Former Leader’s Group Broker-Subject of $1M Customer Suit-Austin, TX
Mark Reinking-Former Leader’s Group Broker-Subject of $1M Customer Suit-Austin, TX 150 150 Robert Rex, Esq.

February 2018-Austin, Texas The FINRA records of  Mark B. Reinking ,  a  stockbroker who is not currently registered with any broker dealer and who was last employed by The Leaders Group Inc. disclose a pending…

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  • Robert Rex, Esq.

Jay D. Jordan-Former WFG Investments Broker-Subect of $9M in Customer Claims-Oklahoma City, OK
Jay D. Jordan-Former WFG Investments Broker-Subect of $9M in Customer Claims-Oklahoma City, OK 150 150 Robert Rex, Esq.

February 2018-Oklahoma City, OK According to publicly available records Jay D. Jordan  , (CRD# 1776666) ,  a  former stockbroker who last worked for WFG Investments  discloses that he was recently permanently barred from the securities…

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  • Robert Rex, Esq.

Guy Conger-Former Money Concepts Capital Broker-Sanctioned by Securities Regulator-San Antonio, TX
Guy Conger-Former Money Concepts Capital Broker-Sanctioned by Securities Regulator-San Antonio, TX 150 150 Robert Rex, Esq.

February 2018-San Antonio, Texas According to publicly available records Guy C. Conger  , (CRD# 2280420) ,  a  stockbroker who last worked for Money Concepts Capital,  discloses that he was recently suspended for six months and…

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  • Robert Rex, Esq.

Dallas Oil & Gas Promoters-SourceRock Companies-Subject of TX State Securities Board Order
Dallas Oil & Gas Promoters-SourceRock Companies-Subject of TX State Securities Board Order 150 150 Robert Rex, Esq.

February 2018-Dallas, Texas The Texas State Securities Board (TSSB) entered an Emergency Cease and Desist Order against Jason A. Gilbert and Parker R. Hallam who are doing business through SourceRock…

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  • Robert Rex, Esq.

Jay A. Wallinger-Former VSR Financial Services Broker-Discloses Customer Suit Over Equipment Leasing Investment-Stuart, Nebraska
Jay A. Wallinger-Former VSR Financial Services Broker-Discloses Customer Suit Over Equipment Leasing Investment-Stuart, Nebraska 150 150 Robert Rex, Esq.

February 2018-Stuart, NE The FINRA records of  Jay Alan Wallinger ,  a  stockbroker who was formerly  employed by  VSR Financial Services  disclose the recent settlement of a customer dispute involving an alleged overconcentration…

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  • Robert Rex, Esq.

Kenneth B. Neuner-Former VSR Financial Services Broker-Accused of Unauthorized Trading-Barred From Securities Industry -Plano, TX
Kenneth B. Neuner-Former VSR Financial Services Broker-Accused of Unauthorized Trading-Barred From Securities Industry -Plano, TX 150 150 Robert Rex, Esq.

February 2018-Dallas, Texas The FINRA records of  Kenneth B. Neuner ,  a  stockbroker who was formerly  employed by Summit Brokerage Services,  VSR Financial Services and TCFG Wealth Management disclose that he was recently barred from…

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  • Robert Rex, Esq.

Cynthia Rodriguez Pleads Guilty to Bank Fraud/Embezzlement-McAllen, Texas
Cynthia Rodriguez Pleads Guilty to Bank Fraud/Embezzlement-McAllen, Texas 150 150 Robert Rex, Esq.

February 2018-McAllen, TX Cynthia Luna Rodriguez, 45, of Pharr, Texas entered a guilty plea to allegations that she stole more than $1 million from customer accounts at First National Bank…

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  • Robert Rex, Esq.

Investigation of NEXT Financial Group RE: Misappropriation of Customer Funds-Houston, TX
Investigation of NEXT Financial Group RE: Misappropriation of Customer Funds-Houston, TX 150 150 Robert Rex, Esq.

May 2019 UPDATE NEXT TO BE PURCHASED BY ATRIA | SANCTIONED OVER MUTUAL FUND  SHARES—In January 2019 NEXT Financial Group announced plans to be purchased by private equity backed Atria…

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  • Robert Rex, Esq.

Larry M. Boggs-Former Ameriprise Broker-Sanctioned for Overtrading Accounts of Elderly Customers-Dallas, TX
Larry M. Boggs-Former Ameriprise Broker-Sanctioned for Overtrading Accounts of Elderly Customers-Dallas, TX 150 150 Robert Rex, Esq.

November 2019-Dallas, TX Larry Martin Boggs,  a  former stockbroker who worked for Wedbush Securities and Ameriprise Financial Services in Dallas was permanently barred from the securities industry by FINRA in…

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  • Robert Rex, Esq.

Thomas W. O’Brien-Raymond James Broker-Subject of $5M Customer Dispute-Shreveport, LA
Thomas W. O’Brien-Raymond James Broker-Subject of $5M Customer Dispute-Shreveport, LA 150 150 Robert Rex, Esq.

February 2018-Shreveport, LA The FINRA records of  Thomas W. O’Brien,  a  stockbroker who is currently employed by Raymond James & Assoc. disclose 2 pending customer disputes and 2 prior final customer disputes.…

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