Rex Securities Law

Rex Securities Law-Investment Loss Recovery Attorneys-Nationwide
  • Robert Rex, Esq.

Orlando Florida Man Sentenced for Defrauding Investors
Orlando Florida Man Sentenced for Defrauding Investors 150 150 Robert Rex, Esq.

July 13, 2015- Orlando, Florida The FBI announced in a Press Release that Dante S. Giovannetti, 50, of Orlando, Florida, was sentenced to 63 months in federal prison for wire fraud. He was also…

read more
  • Robert Rex, Esq.

Naples Florida Man Pleads Guilty in DG Wealth Management Investment Scheme
Naples Florida Man Pleads Guilty in DG Wealth Management Investment Scheme 150 150 Robert Rex, Esq.

July 13, 2015- Fort Myers, Florida The FBI announced in a Press Release that Dorian Graves, 30, of Naples, Florida, pleaded guilty to wire fraud for operating an investment scheme…

read more
  • Robert Rex, Esq.

Investigation of William Tatro-Former First Allied Securities Stock Broker
Investigation of William Tatro-Former First Allied Securities Stock Broker 150 150 Robert Rex, Esq.

July 10, 2015- Rex Securities Law is investigating former stock broker William “Bill” Tatro who was employed by First Allied Securities from 11/2003-9/2010. According to FINRA records, Tatro was permanently barred from the securities industry in…

read more
  • Robert Rex, Esq.

Robert K Smith- Former Berthel Fisher Broker-Discloses Customer Disputes- Mobile, Alabama
Robert K Smith- Former Berthel Fisher Broker-Discloses Customer Disputes- Mobile, Alabama 150 150 Robert Rex, Esq.

UPDATE MARCH 2017-In  April 2016 Robert K. Smith was suspended by FINRA for three. The suspension was lifted July 12, 2016.  Smith currently discloses a total of 13 prior customer…

read more
  • Robert Rex, Esq.

Brian M. White -Former Hornor/Townsend/Kent Broker-Barred from Securities Industry-Woodlands, TX
Brian M. White -Former Hornor/Townsend/Kent Broker-Barred from Securities Industry-Woodlands, TX 150 150 Robert Rex, Esq.

June 30, 2015 A FINRA Department of Enforcement Hearing Panel made a decision that Brian Michael White engaged in undisclosed outside business activities and  provided false testimony to FINRA staff in…

read more
  • Robert Rex, Esq.

Ascendiant Capital Markets Sanctioned by Securities Regulator
Ascendiant Capital Markets Sanctioned by Securities Regulator 150 150 Robert Rex, Esq.

June 25, 2015 Ascendiant Capital Markets entered into an Order Accepting Offer of Settlement  (Order) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that the company violated FINRA By-Laws,…

read more
  • Robert Rex, Esq.

Ohio Division of Securities Issues 2015 Third Quarter Bulletin-Civil & Criminal Securities Actions
Ohio Division of Securities Issues 2015 Third Quarter Bulletin-Civil & Criminal Securities Actions 150 150 Robert Rex, Esq.

July 6, 2015- Columbus, Ohio The Ohio Division of Securities publishes a Securities Bulletin quarterly summarizing recent changes to securities rules and laws in the State of Ohio, reporting on…

read more
  • Robert Rex, Esq.

Losses on F-Squared Investments (Good Harbor Financial US Tactical Core & AlphaSector Allocator Select) May be Recoverable
Losses on F-Squared Investments (Good Harbor Financial US Tactical Core & AlphaSector Allocator Select) May be Recoverable 150 150 Robert Rex, Esq.

July 8, 2015 F-Squared Investments, Inc, an exchange-traded fund manager,  filed for Chapter 11 bankruptcy protection in the U.S. Bankruptcy Court for the District of Delaware. In December of 2014,…

read more
  • Robert Rex, Esq.

Former Aegis Capital Broker Malcolm Segal Sued by SEC on Ponzi Scheme
Former Aegis Capital Broker Malcolm Segal Sued by SEC on Ponzi Scheme 150 150 Robert Rex, Esq.

July 1, 2015-Langehorn, PA/ Boynton Beach, FL The Securities and Exchange Commission (SEC) filed a civil action against Malcolm Segal, 69, of Langhorne, Pennsylvania and Boynton Beach, FL, alleging that…

read more
Enter your
text here
Verified by MonsterInsights