• Robert Rex, Esq.

Charles R. Elhoff-LPL Financial Broker-Discloses Pending Customer Dispute-Arlington, TX
Charles R. Elhoff-LPL Financial Broker-Discloses Pending Customer Dispute-Arlington, TX 150 150 Robert Rex, Esq.

June 2017- Arlington, Texas According to publicly available records Charles R. Elhoff, Jr.  (CRD#76936) ,  a  stockbroker who currently is employed by  LPL Financial,   discloses  a currently pending customer dispute and a prior…

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  • Robert Rex, Esq.

Thurman P. Bryant, III, & Arthur F. Wammel- Found Guilty of Wire Fraud – Frisco, TX
Thurman P. Bryant, III, & Arthur F. Wammel- Found Guilty of Wire Fraud – Frisco, TX 150 150 Robert Rex, Esq.

MAY 2019 UPDATE According to a press release issued by the Department of Justice, Thurman Bryant III, 46, of Frisco and Arthur Franz Wammel, 46, of Houston, were found guilty…

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  • Robert Rex, Esq.

First Dallas Securities Sanctioned by Regulators for Overcharging Commissions-Dallas, TX
First Dallas Securities Sanctioned by Regulators for Overcharging Commissions-Dallas, TX 150 150 Robert Rex, Esq.

March 2017- Dallas, TX According to publicly available records First Dallas Securities Inc.  (CRD# 24549) ,  a  brokerage firm with about 24 brokers headquartered in Dallas, Texas, discloses a recent regulatory sanction.…

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  • Robert Rex, Esq.

Lawrence A. DeShetler-Pleads Guilty to Mail Fraud-Beaumont, TX
Lawrence A. DeShetler-Pleads Guilty to Mail Fraud-Beaumont, TX 150 150 Robert Rex, Esq.

June 2017-Beaumont, Texas Lawrence A. DeShetler, a certified financial planner from the the Woodlands, Texas, pleaded guilty mail fraud according to a release from the Department of Justice for the…

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  • Robert Rex, Esq.

WFG Investments Ignored Red Flags in San Antonio, TX , Branch
WFG Investments Ignored Red Flags in San Antonio, TX , Branch 150 150 Robert Rex, Esq.

May 2017- San Antonio, TX According to publicly available records Dallas, TX-based WFG Investments Inc. discloses 23 final regulatory events.  The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates…

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  • Robert Rex, Esq.

Bernard Breton -Cetera Advisors Broker-Discloses Pending Customer Dispute- Parker, CO.
Bernard Breton -Cetera Advisors Broker-Discloses Pending Customer Dispute- Parker, CO. 150 150 Robert Rex, Esq.

April 2017-Parker, CO According to publicly available records Bernard A. Breton, (CRD#2030660) ,  a  stockbroker who is currently registered with  Cetera Advisors, discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…

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  • Robert Rex, Esq.

Brian K. Hardwick-Former Red River Securities Broker-Discloses Sanctions Over Oil & Gas Deals
Brian K. Hardwick-Former Red River Securities Broker-Discloses Sanctions Over Oil & Gas Deals 150 150 Robert Rex, Esq.

May 2017 – Carrollton, TX According to publicly available records Brian K. Hardwick  (CRD#4522460) ,  a  former stockbroker who was barred by FINRA from acting as a broker or otherwise associating with firms…

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  • Robert Rex, Esq.

Douglas Hardwick-Former Texas Securities Broker-Sanctioned for Sale of Oil & Gas Investments
Douglas Hardwick-Former Texas Securities Broker-Sanctioned for Sale of Oil & Gas Investments 150 150 Robert Rex, Esq.

May 2017 – Carrollton, TX According to publicly available records Douglas R. Hardwick  (CRD#4522610) ,  a  stockbroker currently not registered, but who was previously registered with  Texas Securities, Inc.,  discloses a pending regulatory…

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  • Robert Rex, Esq.

Investigation of NEXT Financial Group Brokers Alleged to Have Converted Customer Funds-West Palm Beach, FL
Investigation of NEXT Financial Group Brokers Alleged to Have Converted Customer Funds-West Palm Beach, FL 150 150 Robert Rex, Esq.

May 2017-Houston, Texas In connection with a currently pending lawsuit, we are investigating thefts from customer accounts by brokers who were affiliated with NEXT Financial Group, a FINRA registered broker…

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  • Robert Rex, Esq.

Darren McFadden-Cowboy Running Back- Files Lawsuit Against Ameriprise Financial
Darren McFadden-Cowboy Running Back- Files Lawsuit Against Ameriprise Financial 150 150 Robert Rex, Esq.

May 2017- Dallas, TX According to an article in the StarTribune, Darren McFadden, Dallas Cowboy running back , has filed a lawsuit against Ameriprise Financial, alleging that his broker, Michael Eugene Vick,…

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