• Robert Rex, Esq.

William W. Marshall-Ameriprise Broker-Subject of Pending Customer Suits Alleging Fraud-Plano, TX
William W. Marshall-Ameriprise Broker-Subject of Pending Customer Suits Alleging Fraud-Plano, TX 150 150 Robert Rex, Esq.

April 2018-Plano, TX The FINRA records of  William W. Marshall ,  a  stockbroker who is currently registered with Ameriprise Financial Services disclose a prior regulatory event, 6 pending customer disputes including at least…

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  • Robert Rex, Esq.

VSR Financial Services-How to Recover Damages On Losses In REITs and Alt. Investments
VSR Financial Services-How to Recover Damages On Losses In REITs and Alt. Investments 150 150 Robert Rex, Esq.

April 2018–VSR Financial Services closed down its operations in the Fall of 2016. Many of its brokers and clients have been transferred to Summit Brokerage Services, a related entity which is…

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  • Robert Rex, Esq.

Dion R. Padilla Annuity Investigation-Former NEXT Financial Group Broker-San Antonio, TX
Dion R. Padilla Annuity Investigation-Former NEXT Financial Group Broker-San Antonio, TX 150 150 Robert Rex, Esq.

May 2019 UPDATE- Dion Padilla/ AT&T Retirement Account investigation. See this for details.   Original Post-JUNE 2018 -San Antonio, Texas We continue our investigation of former NEXT Financial Group broker…

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  • Robert Rex, Esq.

Jason H. LeBlanc-Former Girard Securities Broker-Barred From Securities Industry-Fulshear, TX
Jason H. LeBlanc-Former Girard Securities Broker-Barred From Securities Industry-Fulshear, TX 150 150 Robert Rex, Esq.

September 2017 -Fulshear, Texas According to publicly available records Jason H. LeBlanc (CRD#2483182) , a  former stockbroker who was last employed by Girard Securities , disclose  a prior regulatory event,  3 prior customer disputes and a…

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  • Robert Rex, Esq.

Study by Regulators Confirms That Elderly Are Most Vulnerable to Financial Abuse/Fraud
Study by Regulators Confirms That Elderly Are Most Vulnerable to Financial Abuse/Fraud 150 150 Robert Rex, Esq.

August 2017 The North American Securities Administrators Association (NASAA) recently released a study showing that financial fraud on the elderly has increased, despite increased awareness and regulatory attempts to protect…

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  • Robert Rex, Esq.

SEC Files Action vs. FL and TN Oil and Gas Deal Scammers
SEC Files Action vs. FL and TN Oil and Gas Deal Scammers 150 150 Robert Rex, Esq.

August 2017-Ft. Lauderdale, FL/ Gallatin, TN The Securities and Exchange Commission charged two men from Tennessee and a man from Florida with allegedly defrauding investors by false promises of high…

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  • Robert Rex, Esq.

Couple Awarded $550,000 For Losses on Breitburn Energy Investments-St. Louis
Couple Awarded $550,000 For Losses on Breitburn Energy Investments-St. Louis 150 150 Robert Rex, Esq.

September 2017-St. Louis, MO A FINRA arbitration panel ordered J.J.B. Hilliard, W.L. Lyons to pay a couple $450,000 in compensatory damages, $100,000 in punitive damages and costs of over $18,000.…

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  • Robert Rex, Esq.

Jason H. LeBlanc-Former Girard Securities Broker-Barred From Securities Industry-Fulshear, TX
Jason H. LeBlanc-Former Girard Securities Broker-Barred From Securities Industry-Fulshear, TX 150 150 Robert Rex, Esq.

September 2017 -Fulshear, Texas According to publicly available records Jason H. LeBlanc (CRD#2483182) , a  former stockbroker who was last employed by Girard Securities , disclose  a prior regulatory event,  3 prior customer disputes and a…

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  • Robert Rex, Esq.

Tye C. Williams-Former NEXT Financial Group Broker-Named in $1M Customer Dispute-Frisco, TX
Tye C. Williams-Former NEXT Financial Group Broker-Named in $1M Customer Dispute-Frisco, TX 150 150 Robert Rex, Esq.

September 2017 – Frisco, Texas According to publicly available records  Tye C. Williams (CRD#1271046) , a former stockbroker  who was most recently employed by NEXT Financial Group , disclose  a regulatory event that resulted in…

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  • Robert Rex, Esq.

Kelly G. Richards-First Allied Securities Broker-Discloses Prior Termination-Phoenix, AZ
Kelly G. Richards-First Allied Securities Broker-Discloses Prior Termination-Phoenix, AZ 150 150 Robert Rex, Esq.

August  2018- The FINRA records of  Kelly Gene Richards , (CRD 4918409),   a  stockbroker who is currently  employed by  First Allied Securities, disclose a prior termination from employment. The Financial Industry Regulatory Authority…

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