Robert K Lindell-Former Revere Securities Broker-Sentenced to 10 Years for Defrauding Elderly Women & Tax Evasion-Bangor, ME

Robert K Lindell-Former Revere Securities Broker-Sentenced to 10 Years for Defrauding Elderly Women & Tax Evasion-Bangor, ME 150 150 Robert Rex, Esq.

April 2019-Bangor, Maine According to publicly available records Robert Kenneth Lindell,  ,  a  previously registered stockbroker and former Maine lawmaker, who was last employed by Richfield Orion International, disclose 5…

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Austin W. Morton-Former Edward Jones Broker-Named in Theft Complaint-Sallisaw, OK

Austin W. Morton-Former Edward Jones Broker-Named in Theft Complaint-Sallisaw, OK 150 150 Robert Rex, Esq.

March 2017-Sallisaw, OK According to publicly available records Austin W. Morton , (CRD# 5538108) ,  a  currently unregistered stockbroker who previously worked for Edward Jones  disclose a pending regulatory matter, a pending customer dispute and…

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Jean Walsh-Josephson -Former Thrivent Investment Management Broker & Husband Die In Murder-Suicide

Jean Walsh-Josephson -Former Thrivent Investment Management Broker & Husband Die In Murder-Suicide 150 150 Robert Rex, Esq.

February 2017-Oshkosh, Wisconsin According to US News, the sheriff of Winnebago County reports that former Thrivent Investment Management stock broker Jean A. Walsh-Josephson and her husband, Dewey Josephson,  were found…

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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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Tye Williams-Former NEXT Financial Broker- Barred From Securities Industry-Frisco, TX

Tye Williams-Former NEXT Financial Broker- Barred From Securities Industry-Frisco, TX 150 150 Robert Rex, Esq.

September 2016-Frisco, Texas Tye Williams, a stockbroker who formerly worked for NEXT Financial Group was barred by the Financial Industry Regulatory Authority (FINRA) from acting as a broker or otherwise…

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Levi Lindemann Sentenced to Six Years for Alternative Wealth Solutions Fraud

Levi Lindemann Sentenced to Six Years for Alternative Wealth Solutions Fraud 150 150 Robert Rex, Esq.

November 2016-Stillwater, MN The Star Tribune reports that Levi Lindemann, the financial advisor from Stillwater who pleaded guilty to mail fraud and money laundering, was sentenced to more than six…

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Douglas P. Simanski-Former NEXT Financial Group Broker-Discharged for Theft

Douglas P. Simanski-Former NEXT Financial Group Broker-Discharged for Theft 150 150 Robert Rex, Esq.

Altoona, PA UPDATE MAY 2017-The FINRA records of former NEXT Financial Group broker Douglas Simanski currently disclose 13 pending customer disputes and 3 customer disputes that are final. The newly…

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Jamie D. Pope-Former Wilbanks Securities Broker-Discloses Permanent Bar from Industry & Discharge

Jamie D. Pope-Former Wilbanks Securities Broker-Discloses Permanent Bar from Industry & Discharge 150 150 Robert Rex, Esq.

August  2016-Winter Park, Florida The FINRA records of Jamie D. Pope ,  a  stock broker who has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to…

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Michael J. Smeriglio Customer Paid $2.5 Million Settlement

Michael J. Smeriglio Customer Paid $2.5 Million Settlement 150 150 Robert Rex, Esq.

April 2016-Trumbull, CT 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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Tye Williams Named in Lawsuit-NEXT Financial Broker-Frisco,TX

Tye Williams Named in Lawsuit-NEXT Financial Broker-Frisco,TX 150 150 Robert Rex, Esq.

UPDATE SEPTEMBER 2016– Former NEXT Financial Group stockbroker, Tye Williams barred from the securities industry for failing to cooperate with regulatory investigation alleging theft of $1M. See this for more details. …

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