• Robert Rex, Esq.

James Kearney-Former Raymond James Broker-Discharged for Trading Without Permission-Houston, TX
James Kearney-Former Raymond James Broker-Discharged for Trading Without Permission-Houston, TX 150 150 Robert Rex, Esq.

April 2020-Houston, TX According to publicly available records of James Joseph Kearney (CRD#265734) ,  a  former stockbroker who last worked for Raymond, James & Associates,  discloses  a regulatory event,  3 customer…

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  • Robert Rex, Esq.

Scott D. Williams-Former LPL / Raymond James Broker- Discloses Termination For Discretionary Trading & Customer Suit for Churning- Franklin, TN
Scott D. Williams-Former LPL / Raymond James Broker- Discloses Termination For Discretionary Trading & Customer Suit for Churning- Franklin, TN 150 150 Robert Rex, Esq.

October 2020 – Franklin, TN The FINRA records of Scott Douglas Williams, who last worked for LPL Financial is not currently registered as a broker,  disclose  a pending customer dispute, 2 prior…

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  • Robert Rex, Esq.

Regan A. Rohl-Former Wells Fargo Broker-Subject of Numerous Customer Suits Over Oil & Gas Investments-Fargo, N. Dakota
Regan A. Rohl-Former Wells Fargo Broker-Subject of Numerous Customer Suits Over Oil & Gas Investments-Fargo, N. Dakota 150 150 Robert Rex, Esq.

November 2020- Fargo, N. Dakota The FINRA records of Regan A. Rohl  , a stock broker who was, until recently,  employed by Wells Fargo Advisors Financial Network , disclose  a pending customer dispute and…

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  • Robert Rex, Esq.

Charles Lawrence-Former R.F. Lafferty Broker-Barred From Industry For Exploitation of Elderly Customer- Palm Harbor, FL
Charles Lawrence-Former R.F. Lafferty Broker-Barred From Industry For Exploitation of Elderly Customer- Palm Harbor, FL 150 150 Robert Rex, Esq.

January 2020 -Palm Harbor, Florida The FINRA records of  Charles Joseph Lawrence,  a  former stockbroker who was last employed by  R. F. Lafferty & Co.  disclose a final regulatory matter resulting…

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  • Robert Rex, Esq.

Dennis Hayes-Former Newbridge Securities Broker-Discloses Numerous Customer Suits-Charlotte, N. Carolina
Dennis Hayes-Former Newbridge Securities Broker-Discloses Numerous Customer Suits-Charlotte, N. Carolina 150 150 Robert Rex, Esq.

March 2019- Charlotte, N. Carolina According to FINRA records,  Dennis Allen Hayes ,  a stock broker who  is not currently registered and who formerly worked for Newbridge Securities Corp. , discloses a pending regulatory investigaton, 2…

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  • Robert Rex, Esq.

Stacy Cheney-Jamison-Former CUNA Brokerage Services Broker-Subject of $350K Unauthorized Trading Claim-Boca Raton, FL / Georgia
Stacy Cheney-Jamison-Former CUNA Brokerage Services Broker-Subject of $350K Unauthorized Trading Claim-Boca Raton, FL / Georgia 150 150 Robert Rex, Esq.

April 2018 -Boca Raton, FL-Atlanta, GA According to FINRA records, Stacy Cheney-Jamison ,  a currently unregistered  stockbroker who formerly was employed by CUNA Brokerage Services, disclose  a pending customer dispute. The Financial…

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  • Robert Rex, Esq.

Christopher L. Hibbard-Former Merrill Lynch Broker-Accused of Theft by 8 Customers-Louisville, KY
Christopher L. Hibbard-Former Merrill Lynch Broker-Accused of Theft by 8 Customers-Louisville, KY 150 150 Robert Rex, Esq.

August 2018-Louisville, KY Christopher Lee Hibbard  was recently discharged from Merrill Lynch where he had been employed since 7/2010.  In April 2018 the US Attorney’s office for the Western District…

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  • Robert Rex, Esq.

Guy Conger-Former Money Concepts Capital Broker-Sanctioned by Securities Regulator-San Antonio, TX
Guy Conger-Former Money Concepts Capital Broker-Sanctioned by Securities Regulator-San Antonio, TX 150 150 Robert Rex, Esq.

February 2018-San Antonio, Texas According to publicly available records Guy C. Conger  , (CRD# 2280420) ,  a  stockbroker who last worked for Money Concepts Capital,  discloses that he was recently suspended for six months and…

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  • Robert Rex, Esq.

David H. Fagenson-Former UBS Broker-Discloses Suspension, Termination and Customer Disputes-Palm Beach, FL
David H. Fagenson-Former UBS Broker-Discloses Suspension, Termination and Customer Disputes-Palm Beach, FL 150 150 Robert Rex, Esq.

December 2018-Palm Beach, FL According to publicly available records David H. Fagenson , (CRD# 1652012) ,  a  stockbroker who is currently registered with Newbridge Securities disclose a recent regulatory sanction, 2 pending customer disputes, 9…

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