• Robert Rex, Esq.

Ronald Dunn-Former Pruco Securities Broker-Indicted for Theft-N Richland Hills, TX
Ronald Dunn-Former Pruco Securities Broker-Indicted for Theft-N Richland Hills, TX 150 150 Robert Rex, Esq.

North Richland Hills, Texas Ronald T. Dunn, a former stockbroker who previously worked for PruCo Securities, was indicted in Tarrant County, TX, for theft of property between $100,000 and $200,000.…

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  • Robert Rex, Esq.

Robert Yrshus-Former Northgate Securities Broker-Sanctioned by Texas Securities Regulator-Houston
Robert Yrshus-Former Northgate Securities Broker-Sanctioned by Texas Securities Regulator-Houston 150 150 Robert Rex, Esq.

February 2017- Houston, Texas The Texas State Securities Board (TSSB) sanctioned  Robert Yrshus (CRD# 858876) of Houston, Texas,  suspending him for 60 days and assessing an administrative fine of $5,000. According to the…

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  • Robert Rex, Esq.

Bruce R. Clark-Wells Fargo Broker-Disciplined by Texas Regulator-Longview, TX
Bruce R. Clark-Wells Fargo Broker-Disciplined by Texas Regulator-Longview, TX 150 150 Robert Rex, Esq.

December 2016- Longview, Texas The Texas State Securities Board (TSSB) sanctioned  Bruce Russell Clark (CRD# 2848753) of Longview, Texas,  reprimanding him and assessing an administrative fine of $5,000. According to the TSSB…

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  • Robert Rex, Esq.

Bill Holubec-Royal Alliance Broker-Discloses Pending Customer Dispute-San Angelo, TX
Bill Holubec-Royal Alliance Broker-Discloses Pending Customer Dispute-San Angelo, TX 150 150 Robert Rex, Esq.

January 2016-San Angelo, Texas OCTOBER 2017 UPDATE-Bill Holubec is no no longer registered as a broker with Royal Alliance as of 5/2017. See this for more information.  Publicly available records of Bill…

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  • Robert Rex, Esq.

Stuart G. Dickinson-Former WFG Investments Broker-Barred by Securities Regulagtor-Highland Park, TX
Stuart G. Dickinson-Former WFG Investments Broker-Barred by Securities Regulagtor-Highland Park, TX 150 150 Robert Rex, Esq.

November 2016-Highland Park, Texas The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints…

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  • Robert Rex, Esq.

Daniel W. Staudacher-PFS Investments Broker-Discloses Regulatory Sanction
Daniel W. Staudacher-PFS Investments Broker-Discloses Regulatory Sanction 150 150 Robert Rex, Esq.

January 2017- Dallas, Texas According to publicly available records Daniel W. Staudacher , (CRD# 2878221) ,  a  stockbroker who is currently employed by PFS Investments,  disclose a recent FINRA regulatory action resulting in a…

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  • Robert Rex, Esq.

Ronald D. Henson-Former Voya Financial Broker-Discloses Discharge From Employment
Ronald D. Henson-Former Voya Financial Broker-Discloses Discharge From Employment 150 150 Robert Rex, Esq.

January 2017- Longview, Texas According to publicly available records Ronald D. Henson , (CRD# 1748328) ,  a  stockbroker who is currently employed by LaSalle St. Securities,  disclose a separation from employment after allegations. The…

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  • Robert Rex, Esq.

Paul R. Nitz-H D Vest Broker-Discloses Pending Customer Arbitration-Woodlands, TX
Paul R. Nitz-H D Vest Broker-Discloses Pending Customer Arbitration-Woodlands, TX 150 150 Robert Rex, Esq.

January 2017-The Woodlands, Texas According to publicly available records Paul R. Nitz, (CRD# 2260178) ,  a  stockbroker currently employed by HD Vest Investment Services ,  discloses a pending customer dispute. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Renee R. Fields-Former Ameriprise Broker- Discloses Separation From Employment-Dallas, TX
Renee R. Fields-Former Ameriprise Broker- Discloses Separation From Employment-Dallas, TX 150 150 Robert Rex, Esq.

January 2017-Dallas, Texas The FINRA records of  Renee Rochelle Fields,  a  stockbroker currently employed by Sagepoint Financial disclose a  separation from employment after allegations. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses…

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  • Robert Rex, Esq.

Steven W. Shirley-IMS Securities Stockbroker-Discloses Pending Customer Dispute-Friendswood, TX
Steven W. Shirley-IMS Securities Stockbroker-Discloses Pending Customer Dispute-Friendswood, TX 150 150 Robert Rex, Esq.

January 2017-Friendswood, Texas The FINRA records of  Steven W. Shirley,  a  stockbroker with IMS Securities disclose a  a currently pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates…

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