• Robert Rex, Esq.

Jay D. Jordan -Former WFG Investments Broker-Discloses $4M Customer Dispute-Oklahoma City, OK
Jay D. Jordan -Former WFG Investments Broker-Discloses $4M Customer Dispute-Oklahoma City, OK 150 150 Robert Rex, Esq.

April 2016- Oklahoma City, OK UPDATED February 2018-See this for current details. UPDATE MAY 2017–FINRA Records disclose that Jay D. Jordan currently has 9 pending and 4 prior customer disputes. The…

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  • Robert Rex, Esq.

Daniel McCourt-Foothills Securities Broker-Update on Investigation
Daniel McCourt-Foothills Securities Broker-Update on Investigation 150 150 Robert Rex, Esq.

April 17, 2016 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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  • Robert Rex, Esq.

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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  • Robert Rex, Esq.

Colleyville, Texas Resident Sentenced to 15 Years for Wind Farm Scam
Colleyville, Texas Resident Sentenced to 15 Years for Wind Farm Scam 150 150 Robert Rex, Esq.

March 15, 2016-Dallas, Texas The Department of Justice announced that Colleyville, Texas, resident David L. Spaulding, 62, has been sentenced to 15 years in federal prison and ordered to pay…

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  • Robert Rex, Esq.

Enver Alijaj-Investigation Update-Former Legend Securities Broker
Enver Alijaj-Investigation Update-Former Legend Securities Broker 150 150 Robert Rex, Esq.

April 13, 2016 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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  • Robert Rex, Esq.

Losses On Servergy, Inc ? – Recovery Options for Investors
Losses On Servergy, Inc ? – Recovery Options for Investors 150 150 Robert Rex, Esq.

April 12, 2016-Fort Worth, Texas The Securities and Exchange Commission (SEC) filed fraud charges against McKinney, TX based Servergy, Inc. , William E. Mapp III, Caleb J. White and Texas attorney general…

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  • Robert Rex, Esq.

David Williams-WFG Investments Broker- Discloses Settlement of Servergy Suit-Dallas, TX
David Williams-WFG Investments Broker- Discloses Settlement of Servergy Suit-Dallas, TX 150 150 Robert Rex, Esq.

Dallas, Texas UPDATE JUNE 2017-David W. Williams discloses that FINRA Case 16-00346, see below, was settled for $250,000 in 12/2016. ORIGINAL POST-April 12, 2016 The FINRA records of David W. Williams,…

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  • Robert Rex, Esq.

Carl Busch-WFG Investments Broker-Sanctioned by Securities Regulator
Carl Busch-WFG Investments Broker-Sanctioned by Securities Regulator 150 150 Robert Rex, Esq.

December 30, 2015-Oklahoma City, OK Carl W. Busch , a broker with WFG Investments, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve…

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  • Robert Rex, Esq.

“Free Dinner” Investment Scam in Florida Leads to Fraud Complaint Against Four Individuals
“Free Dinner” Investment Scam in Florida Leads to Fraud Complaint Against Four Individuals 150 150 Robert Rex, Esq.

April 4, 2016 The Securities and Exchange Commission (SEC) filed a complaint charging four individuals with fraud on senior citizens who were tempted to “free dinner” seminars where they were…

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  • Robert Rex, Esq.

Eric Johnson Investigation Update-Former Redridge Securities Stock Broker
Eric Johnson Investigation Update-Former Redridge Securities Stock Broker 150 150 Robert Rex, Esq.

April 12, 2016 In October 2014, former Redridge Securities stock broker Eric W. Johnson was barred from the securities industry for failing to cooperate with a FINRA investigation of allegations…

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