• Robert Rex, Esq.

Stifel Nicolaus Ordered to Pay Elderly Couple For Puerto Rico Bond Losses
Stifel Nicolaus Ordered to Pay Elderly Couple For Puerto Rico Bond Losses 150 150 Robert Rex, Esq.

Over the past few years St. Louis based Stifel Nicolaus & Co. has faced a number of problem with regulators as well as actions filed by disgruntled customers, including: In…

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  • Robert Rex, Esq.

Kenneth B. Neuner-Former VSR Financial Services Broker-Discharged by Summit Brokerage Services-Dallas, TX
Kenneth B. Neuner-Former VSR Financial Services Broker-Discharged by Summit Brokerage Services-Dallas, TX 150 150 Robert Rex, Esq.

FEBRUARY 2018 UPDATE-Kenneth Neuner barred from securities industry. See this for more details.  April 2017-Dallas, Texas The FINRA records of  Kenneth B. Neuner ,  a  stockbroker who was formerly  employed by  VSR Financial Services…

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  • Robert Rex, Esq.

Steven P. Sappington-G.A. Repple Broker-Discloses Financial Events and Customer Dispute-Waco, TX
Steven P. Sappington-G.A. Repple Broker-Discloses Financial Events and Customer Dispute-Waco, TX 150 150 Robert Rex, Esq.

April 2017-Waco, Texas The FINRA records of  Steven P. Sappington ,  a  stockbroker who is currently registered with G.A. Repple disclose a  prior customer dispute, 3 pending financial events and 2 prior financial events.…

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  • Robert Rex, Esq.

Michelle D. Drake-Former Rhodes Securities Broker-Discloses Discharge From Employment-Colleyville, TX
Michelle D. Drake-Former Rhodes Securities Broker-Discloses Discharge From Employment-Colleyville, TX 150 150 Robert Rex, Esq.

April 2017-Colleyville, Texas The FINRA records of  Michelle Diane Drake ,  a  stockbroker who is currently  registered with   Prospera Financial Services  disclose a termination from employment. The Financial Industry Regulatory Authority (FINRA) is the…

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  • Robert Rex, Esq.

Kris Etter-IMS Securities Broker-Discloses Customer Arbitration Over REIT Investment-Houston, TX
Kris Etter-IMS Securities Broker-Discloses Customer Arbitration Over REIT Investment-Houston, TX 150 150 Robert Rex, Esq.

April 2017- Grapevine, TX According to publicly available records Kristopher F. Etter  , (CRD# 4562123) ,  a  stockbroker who is currently registered with IMS Securities  discloses a pending   customer dispute.  The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Nghi Thanh Ho -IMS Securities Broker-Discloses Customer Dispute- Houston, TX
Nghi Thanh Ho -IMS Securities Broker-Discloses Customer Dispute- Houston, TX 150 150 Robert Rex, Esq.

April 2017 – Houston, TX According to publicly available records Nghi Thanh Ho,  (CRD#2327672) ,  a  stockbroker who is currently registered with IMS Securities  discloses one pending customer dispute and a separation from employment.  The Financial Industry…

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  • Robert Rex, Esq.

Austin Attorney and Partner Plead Guilty to Investment Fraud
Austin Attorney and Partner Plead Guilty to Investment Fraud 150 150 Robert Rex, Esq.

April 2017-Austin, Texas The US Attorney’s Office for the Western District of Texas announced that Austin residents Robert Allen Helms and Janniece S. Kaelin pleaded guilty to federal charges of…

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  • Robert Rex, Esq.

Mark C. Parman Sentenced to Six Years on Fraudulent Oil Deals-Frisco, TX
Mark C. Parman Sentenced to Six Years on Fraudulent Oil Deals-Frisco, TX 150 150 Robert Rex, Esq.

April 2017-Frisco, Texas A Texas State Securities Board (TSSB) news release reports that Mark Christopher Parman has been sentenced to six years in state prison after pleading guilty to securities fraud…

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  • Robert Rex, Esq.

Jesus D. Rodriguez-IMS Securities Broker- Discloses Pending Customer Dispute-Houston, TX
Jesus D. Rodriguez-IMS Securities Broker- Discloses Pending Customer Dispute-Houston, TX 150 150 Robert Rex, Esq.

April 2017- Houston, TX According to publicly available records Jesus D. Rodriguez , (CRD# 1017572) ,  a  stockbroker who is currently registered with IMS Securities  discloses one pending  and one prior customer dispute.  The Financial Industry…

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  • Robert Rex, Esq.

Matthew T. Griffith-Former Kestra Investment Services Broker-Discloses Settlement of Customer Dispute-San Diego, CA
Matthew T. Griffith-Former Kestra Investment Services Broker-Discloses Settlement of Customer Dispute-San Diego, CA 150 150 Robert Rex, Esq.

UPDATED April 2018 FINRA records disclose that Matthew T. Griffith is no longer registered with Kestra Investment Services as of 4/2018. In addition FINRA records disclose that FINRA customer arbitration …

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