• Robert Rex, Esq.

Losses on Cole Office and Industrial REIT ?
Losses on Cole Office and Industrial REIT ? 150 150 Robert Rex, Esq.

If you have suffered losses on your investment in Cole Office & Industrial REIT, contact us to learn how you may be able to recover damages from the brokerage firm…

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  • Robert Rex, Esq.

Newbridge Securities Fined $499,000 by Securities Regulator Over Structured Products-Boca Raton, FL
Newbridge Securities Fined $499,000 by Securities Regulator Over Structured Products-Boca Raton, FL 150 150 Robert Rex, Esq.

August 2017- Boca Raton, FL Boca Raton, FL based brokerage firm Newbridge Securities Corp. was fined $499,000 by Pennsylvania Department of Banking and Securities for failure to supervise a broker…

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  • Robert Rex, Esq.

Texas Securities Board Appoints New Commissioner-Austin, TX
Texas Securities Board Appoints New Commissioner-Austin, TX 150 150 Robert Rex, Esq.

August 2017-Austin, Texas Travis J. Lies was appointed Securities Commissioner of the Texas State Securities Board (TSSB) effective September 1, 2017. Lies has worked for the TSSB for 16 years and…

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  • Robert Rex, Esq.

Wedbush Securities Ordered to Pay Customer $1.8M For Elder Abuse-Los Angeles, CA
Wedbush Securities Ordered to Pay Customer $1.8M For Elder Abuse-Los Angeles, CA 150 150 Robert Rex, Esq.

Los Angeles, CA-July 2017 A Financial Industry Regulatory Authority (FINRA) arbitration panel comprised of three public arbitrators ordered Wedbush Securities to pay two former customers (husband and wife) compensatory damages…

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  • Robert Rex, Esq.

Additional Individuals Indicted In Chimera Energy Corp. Fraud-Houston, Texas
Additional Individuals Indicted In Chimera Energy Corp. Fraud-Houston, Texas 150 150 Robert Rex, Esq.

Houston, Texas – July 2017 According to a press release from the US Attorney’s Office for the Southern District of Texas, a second superseding indictment has been issued by a…

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  • Robert Rex, Esq.

SEC Charges 13 with Fraud Boiler Room Scam Targeting Senior Citizens-Long Island
SEC Charges 13 with Fraud Boiler Room Scam Targeting Senior Citizens-Long Island 150 150 Robert Rex, Esq.

July 2017 Thirteen individuals from two Long Island-based boiler rooms were charged with securities fraud by the Securities and Exchange Commission who alleges that they made hundreds of thousands of…

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  • Robert Rex, Esq.

Richard W. Martin-Former G.F. Investments Services Broker-Discloses Issues Over Sale of ETFs
Richard W. Martin-Former G.F. Investments Services Broker-Discloses Issues Over Sale of ETFs 150 150 Robert Rex, Esq.

July 2017-Malaysia The FINRA records of  Richard William Lunn Martin ,  a  former stockbroker who was last  employed by  G.F. Investment Services, disclose a  prior regulatory matter, 15 customer disputes, a current…

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  • Robert Rex, Esq.

Michael K. Parish-San Antonio Investment Adviser Sanctioned by Texas Regulator
Michael K. Parish-San Antonio Investment Adviser Sanctioned by Texas Regulator 150 150 Robert Rex, Esq.

July 2017 -San Antonio, TX The Texas State Securities Board  (TSSB)entered a disciplinary order against San Antonio investment adviser Michael Keith Parish for violations of Board Rule 116.17, known as the “custody…

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  • Robert Rex, Esq.

Northeast Securities Ordered to Pay Former Customer $1.8 Million-Mitchelfield, NY
Northeast Securities Ordered to Pay Former Customer $1.8 Million-Mitchelfield, NY 150 150 Robert Rex, Esq.

July 2017-New York An arbitration panel of the Financial Industry Regulatory Authority (FINRA) ordered Northeast Securities, Inc. a broker dealer headquartered in  Mitchelfield , NY, and three of their brokers…

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  • Robert Rex, Esq.

Investigation-Frank T. Dunn, Jr.-Concorde Investment Services-The Woodlands, TX
Investigation-Frank T. Dunn, Jr.-Concorde Investment Services-The Woodlands, TX 150 150 Robert Rex, Esq.

The Woodlands, Texas We are investigating the sales practices of Frank Timothy Dunn, Jr. a broker who has been employed by Concorde Investment Services since 10/2014. In publicly available records…

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