• Robert Rex, Esq.

Brian Alfaro’s Request to Dismiss Fraud Charges Denied-San Antonio, TX
Brian Alfaro’s Request to Dismiss Fraud Charges Denied-San Antonio, TX 150 150 Robert Rex, Esq.

October 3, 2016-San Antonio, Texas mySA reports that bankruptcy court judge Craig Gargotta denied Brian Alfaro’s request to dismiss allegations of fraud, civil conspiracy, negligent misrepresentation, and violations of securities…

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  • Robert Rex, Esq.

Investors Capital Corporation Fined $250,000 by Securities Regulators
Investors Capital Corporation Fined $250,000 by Securities Regulators 150 150 Robert Rex, Esq.

October 2014 The FINRA records of  Investors Capital Corp.,  a  broker dealer headquartered in Lynnfield, MA,  that employs about 640 people in 313 branch offices nationwide, disclose a recent regulatory matter. The…

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  • Robert Rex, Esq.

Texas State Securities Board Fines Stephen Scheurer-Bee Cave, TX
Texas State Securities Board Fines Stephen Scheurer-Bee Cave, TX 150 150 Robert Rex, Esq.

September 2016-Bee Cave, Texas The FINRA records of  Stephen M. Scheurer,  a  stockbroker who was formerly employed by  Century Securities Associates  disclose a recent regulatory event with the Texas State Securities Board,  2 prior finalized customer…

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  • Robert Rex, Esq.

Texas State Securities Board Fines Charles Schwab & Co. $95,000
Texas State Securities Board Fines Charles Schwab & Co. $95,000 150 150 Robert Rex, Esq.

  September 2016- Austin, Texas Charles Schwab & Co. entered into a Consent Order with the Texas State Securities Board (TSSB) and agreed to pay an administrative fine of $95,000 as…

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  • Robert Rex, Esq.

San Antonio Based Investment Professionals Inc. (IPI) Fined $170,000 by FINRA
San Antonio Based Investment Professionals Inc. (IPI) Fined $170,000 by FINRA 150 150 Robert Rex, Esq.

July 2016-San Antonio, Texas San Antonio, Texas, based stock brokerage firm Investment Professionals, Inc.  (IPI)  entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA)…

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  • Robert Rex, Esq.

Mickey Long-VSR Financial Broker- Sanctioned by Texas State Securities Board-Plano, TX
Mickey Long-VSR Financial Broker- Sanctioned by Texas State Securities Board-Plano, TX 150 150 Robert Rex, Esq.

October 2016-Plano, Texas The Texas State Securities Board (TSSB) entered a Disciplinary Order against M. F. (Mickey) Long II who operates First Financial Services Group in Plano, TX, and stock brokerage…

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  • Robert Rex, Esq.

Bob Wamhoff-Former VSR Financial Broker-Discloses Pending Customer Disputes
Bob Wamhoff-Former VSR Financial Broker-Discloses Pending Customer Disputes 150 150 Robert Rex, Esq.

UPDATE MARCH 2018-Follow this link for most recent update. UPDATE SEPTEMBER 2017–Robert Wamhoff discloses 2 currently pending customer disputes: 7/2017-a customer of VSR Financial Services alleges poor performance of oil…

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  • Robert Rex, Esq.

Robert B. Hardcastle-Former VSR Financial Broker-Discloses Settlement of Customer Disputes-Chesterfield, MO.
Robert B. Hardcastle-Former VSR Financial Broker-Discloses Settlement of Customer Disputes-Chesterfield, MO. 150 150 Robert Rex, Esq.

September 2016-Chesterfield, MO The FINRA records of  Robert B. Hardcastle,  a  stockbroker who was formerly employed by  VSR Financial Services  disclose 11 prior customer disputes that are final. The Financial Industry Regulatory Authority (FINRA) is the agency that…

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  • Robert Rex, Esq.

Charles J. Lawrence-Former Morgan Stanley Broker-Barred From Industry For Exploitation of Elderly Customer
Charles J. Lawrence-Former Morgan Stanley Broker-Barred From Industry For Exploitation of Elderly Customer 150 150 Robert Rex, Esq.

JANUARY 2020 UPDATE–Charles Lawrence barred from industry by FINRA for exploitation of elderly customer. See this for more information.  September 2016-Palm Harbor, Florida The FINRA records of  Charles J. Lawrence,  a  stockbroker who…

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  • Robert Rex, Esq.

Athanasios Tomaras-Former Fulcrum Securities Broker-Discloses Suit Over Energy Investments-Oldsmar, FL
Athanasios Tomaras-Former Fulcrum Securities Broker-Discloses Suit Over Energy Investments-Oldsmar, FL 150 150 Robert Rex, Esq.

Oldsmar, Florida-UPDATE OCTOBER 2017-In October 2016 a customer of Fulcrum Securities file FINRA arbitration 16-02962 seeking damages of $189,000 and alleging that Mr. Tomaras made unsuitable investment recommendations in equities…

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