• Robert Rex, Esq.

Randy G. Merrill-First Financial Equity Broker-Settles Customer Arbitration Matter
Randy G. Merrill-First Financial Equity Broker-Settles Customer Arbitration Matter 150 150 Robert Rex, Esq.

Dallas, Texas According to FINRA records, Randy G. Merrill ,  a broker who has been  registered  with FIrst Financial Equity Corp, since  7/2009 , discloses a recently resolved customer dispute The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Jason L. Freiwald-Waddell & Reed Broker-Discloses $541K Customer Complaint
Jason L. Freiwald-Waddell & Reed Broker-Discloses $541K Customer Complaint 150 150 Robert Rex, Esq.

Chandler, AZ According to FINRA records, Jason L. Freiwald ,  a broker who is currently registered  with Waddell & Reed , discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…

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  • Robert Rex, Esq.

Jason B. Vanclef-VFG Securities-Named In Regulatory Investigation Over REIT Sales
Jason B. Vanclef-VFG Securities-Named In Regulatory Investigation Over REIT Sales 150 150 Robert Rex, Esq.

Culver CIty, CA According to FINRA records, Jason B. Vanclef,  a broker who is  registered  with VFG Securities  , discloses that he is named in a FINRA complaint alleging that in connection with…

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  • Robert Rex, Esq.

Miguel A. Hernandez-Former Thrivent StockBroker-Barred From Securities Industry
Miguel A. Hernandez-Former Thrivent StockBroker-Barred From Securities Industry 150 150 Robert Rex, Esq.

El Paso, Texas According to FINRA records, Miguel A. Hernandez ,  a broker who was formerly  registered  with Thrivent Investment Management in El Paso, Texas , has been permanently barred from acting as a…

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  • Robert Rex, Esq.

Jeffrey L. Boddy-Woodbury Financial Broker-Discloses Numerous Tax Liens
Jeffrey L. Boddy-Woodbury Financial Broker-Discloses Numerous Tax Liens 150 150 Robert Rex, Esq.

Farmington, New Mexico According to FINRA records, Jeffrey L. Boddy a broker who works for Woodbury Financial Services, Inc. discloses 1 prior customer dispute and 24 unsatisfied and outstanding judgments or…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Network 1 Financial Securities Broker Sean P. McCabe
Rex Securities Law Investment Fraud Attorney Investigates Network 1 Financial Securities Broker Sean P. McCabe 150 150 Robert Rex, Esq.

Last Updated: October 2023 (Hauppauge, NY) Sean P. McCabe Investigation Summary Here’s what you need to know about Hauppauge, NY, stockbroker Sean P. McCabe: Name: Mr. Sean P. McCabe Current…

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  • Robert Rex, Esq.

Larry C. Wolfe-Former Herbert J. Sims Stockbroker-Sued by Customers/Discharged & Barred From Securities Industry-Boca Raton, FL
Larry C. Wolfe-Former Herbert J. Sims Stockbroker-Sued by Customers/Discharged & Barred From Securities Industry-Boca Raton, FL 150 150 Robert Rex, Esq.

MAY 2018 UPDATE ON LARRY WOLFE-BOCA RATON, FL-FINRA records disclose that Wolfe was permanently barred from securities industry in 2/2018 for failing to respond to FINRA request for information. In…

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  • Robert Rex, Esq.

Thomas G. Gresham-Moloney Securities Broker-Subject Of Numerous Energy Sector Loss Suits- Leawood, KS
Thomas G. Gresham-Moloney Securities Broker-Subject Of Numerous Energy Sector Loss Suits- Leawood, KS 150 150 Robert Rex, Esq.

February 2019-Leawood, KS 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 and…

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