• Robert Rex, Esq.

Marco Mendoza- San Antonio Broker (J.P. Morgan) Barred From Securities Industry
Marco Mendoza- San Antonio Broker (J.P. Morgan) Barred From Securities Industry 150 150 Robert Rex, Esq.

January 11, 2016- San Antonio, Texas Marco A. Mendoza , formerly a broker with J.P. Morgan Securities was permanently barred from the securities industry, for failing to respond to FINRA request…

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  • Robert Rex, Esq.

GL Capital Partners Former CEO Daniel Thibeault Pleads Guilty to Fraud Charges
GL Capital Partners Former CEO Daniel Thibeault Pleads Guilty to Fraud Charges 150 150 Robert Rex, Esq.

March 14, 2016 The Investment News reports that Daniel Thibeault pleaded guilty to criminal charges that he defrauded fund investors of GL Capital Partners out of $15 million by leading…

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  • Robert Rex, Esq.

Former Austin Lawyer Begins 17 Year Prison Sentence for Fraud
Former Austin Lawyer Begins 17 Year Prison Sentence for Fraud 150 150 Robert Rex, Esq.

March 9, 2016-Austin, Texas The Texas Lawyer reports that Patrick Lanier, a former Austin attorney, began a 17 year prison sentence for assisting Harris Ballow, an international fugitive, defraud 500…

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  • Robert Rex, Esq.

Lawrence Miller-Former LPL FInancial Broker-Barred from Industry
Lawrence Miller-Former LPL FInancial Broker-Barred from Industry 150 150 Robert Rex, Esq.

February 11, 2016- Plantation, Florida Lawrence Leslie Miller entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  he refused to provide…

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  • Robert Rex, Esq.

Beth E. Dutoit, Edward Jones/United Planners Broker Sanctioned for Forgery-Norman, Oklahoma
Beth E. Dutoit, Edward Jones/United Planners Broker Sanctioned for Forgery-Norman, Oklahoma 150 150 Robert Rex, Esq.

Norman, OK MAY 2017 UPDATE-In January 2017 Beth E. Dutoit was suspended for three months by FINRA and fined $5,000 to resolve allegations that she had customers sign blank forms…

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  • Robert Rex, Esq.

Oklahoma Securities Regulator Orders Houston Based Company to Cease and Desist
Oklahoma Securities Regulator Orders Houston Based Company to Cease and Desist 150 150 Robert Rex, Esq.

March 4, 2016-Oklahoma City, OK The Oklahoma Department of Securities file an Order to Cease and Desist and Notice of Opportunity for Hearing in the matter of Houston-based ThinAir Wireless,…

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  • Robert Rex, Esq.

Robert Arrowood Sanctioned by Securities Regulator for Trinity Resources Scam-Norman, OK
Robert Arrowood Sanctioned by Securities Regulator for Trinity Resources Scam-Norman, OK 150 150 Robert Rex, Esq.

March 10, 2016-Norman, Oklahoma The Oklahoma Securities Commission entered a permanent injunction against 2001 Trinity Fund LLC and Robert Arrowood, of Norman, OK, who was accused of operating a Ponzi…

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  • Robert Rex, Esq.

Kenton Gearhart (Merrill Lynch, Cincinatti) Sanctioned by Securities Regulator
Kenton Gearhart (Merrill Lynch, Cincinatti) Sanctioned by Securities Regulator 150 150 Robert Rex, Esq.

March 10, 2016- Cincinnati, Ohio Kenton K. Gearhart  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  while employed by Merrill…

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  • Robert Rex, Esq.

Raymond James Fined $500,000 by Securities Regulators for Disclosing Nonpublic Customer Information
Raymond James Fined $500,000 by Securities Regulators for Disclosing Nonpublic Customer Information 150 150 Robert Rex, Esq.

February 26, 2016- St. Petersburg, FL Raymond James & Associates and Raymond James Financial Services entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA)…

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  • Robert Rex, Esq.

Keith Chapman-Former VSR Financial Broker-Discloses Customer Dispute-Dallas, Texas
Keith Chapman-Former VSR Financial Broker-Discloses Customer Dispute-Dallas, Texas 150 150 Robert Rex, Esq.

Dallas, Texas Former VSR Financial Services broker Keith E. Chapman of Chapman Wealth Management  discloses a customer dispute related to  the sale of limited partnerships, direct investments, equipment leasing investments and real estate securities. (Alternative…

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