Blog - Page 312 of 345 - Rex Securities Law

Robert Rex, Esq.
February 17, 2016

VSR Financial Services Ordered to Pay Couple $307,000 For Recommendation of Alternative Investments

VSR Financial Services Ordered to Pay Couple $307,000 For Recommendation of Alternative Investments https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g February 17, 2016 October 4, 2023

February 17, 2016 A FINRA (FInancial Industry Regulatory Authority) arbitration panel recently ordered VSR Financial Services to pay a Louisiana couple over $300,000 in damages for losses on non-traded real estate…

Robert Rex, Esq.
February 17, 2016

Investigation of VFG Securities in Plano, Texas- Sale of REITs & Alternative Investments

Investigation of VFG Securities in Plano, Texas- Sale of REITs & Alternative Investments https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g February 17, 2016 February 17, 2016

February 17, 2016- Plano, Texas Rex Securities Law is investigating VFG Securities, a broker dealer headquartered in Culver City California, with offices in Plano, Texas, in connection with the sale…

Robert Rex, Esq.
February 17, 2016

VFG Securities Named in Regulatory Complaint for Sales of REITs/ Alternative Investments

VFG Securities Named in Regulatory Complaint for Sales of REITs/ Alternative Investments https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g February 17, 2016 February 17, 2016

UPDATE November 2016-VFG Securities and Jason Vanclef sanctioned by FINRA. February 9, 2016-Plano Texas/ Culver City California The Financial Industry Regulatory Authority (FINRA) filed a complaint No. 2013038283001 against VFG…

Robert Rex, Esq.
February 15, 2016

MidAmerica Financial Services (MFS) Sanctioned by Securities Regulators- Joplin, Missouri

MidAmerica Financial Services (MFS) Sanctioned by Securities Regulators- Joplin, Missouri https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g February 15, 2016 February 15, 2016

On February 5, 2016, MidAmerica Financial Services entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from 2010-2014, MidAmerica…

Robert Rex, Esq.
February 15, 2016

Bankers & Investors Co. Sanctioned on UIT(Unit Investment Trust) Sales-Topeka, Kansas

Bankers & Investors Co. Sanctioned on UIT(Unit Investment Trust) Sales-Topeka, Kansas https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g February 15, 2016 February 15, 2016

February 3, 2016 – Topeka, Kansas Bankers & Investors Co. entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from March 2010-March…

Robert Rex, Esq.
February 15, 2016

Ameriprise Broker Sanctioned for Sale of BioChemics Scientific Stock-Plano, Texas

Ameriprise Broker Sanctioned for Sale of BioChemics Scientific Stock-Plano, Texas https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g February 15, 2016 February 15, 2016

February 9, 2016- Plano, Texas William Wesley Marshall entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he participated in private securities…

Robert Rex, Esq.
February 15, 2016

Craig Scott Capital & Execs Accused of Churning Customer Accounts

Craig Scott Capital & Execs Accused of Churning Customer Accounts https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g February 15, 2016 February 15, 2016

UPDATE-August 2016-Brent Porges not currently registered. See this for details. January 28, 2016 Craig Scott Capital (CSC) , its co-founder and President Craig Scott Taddonio and Brent Morgan Porges, a…

Robert Rex, Esq.
February 15, 2016

Allstate Financial Services Broker Discharged/ Sanctioned by Regulators- Griffin, Georgia

Allstate Financial Services Broker Discharged/ Sanctioned by Regulators- Griffin, Georgia https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g February 15, 2016 February 15, 2016

January 13, 2016- Griffin, Georgia Stanley Ball entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while he was registered with Allstate…

Robert Rex, Esq.
February 15, 2016

James Hilty-Edward Jones Broker Sanctioned for Unauthorized Trading- Ocala, FL

James Hilty-Edward Jones Broker Sanctioned for Unauthorized Trading- Ocala, FL https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g February 15, 2016 February 15, 2016

January 29, 2016- Ocala, FL James P. Hilty, Jr. entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while he was…

Robert Rex, Esq.
February 15, 2016

Former NFP Securities Broker Sanctioned by Regulators-St. Petersburg, FL

Former NFP Securities Broker Sanctioned by Regulators-St. Petersburg, FL https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g February 15, 2016 February 15, 2016

January 21, 2016- St. Petersburg, FL Michael William Hajek, III entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while he was…

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