Rex Securities Law

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

Ausdal Financial Partners Hit With $1.2M Arbitration Award on Variable Annuity
Ausdal Financial Partners Hit With $1.2M Arbitration Award on Variable Annuity 150 150 Robert Rex, Esq.

June 8, 2015-Boston, MA An all public FINRA arbitration panel ordered Ausdal Financial Partners and broker Joan Norton to pay  a customer over $1.2 million on claims of negligence, unsuitability, breach…

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  • Robert Rex, Esq.

Boynton Beach, FL Resident Pleads Guilty in Precious Metal Fraud Scheme
Boynton Beach, FL Resident Pleads Guilty in Precious Metal Fraud Scheme 150 150 Robert Rex, Esq.

June 17, 2015-Palm Beach County Florida Jeffrey Schuler, 54, of Boynton Beach, Florida pled guilty to one count of wire fraud, in connection with the operation of Fort Lauderdale based…

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  • Robert Rex, Esq.

First Allied Securities Broker Sanctioned for Sale of Unsuitable Exchange Traded Funds
First Allied Securities Broker Sanctioned for Sale of Unsuitable Exchange Traded Funds 150 150 Robert Rex, Esq.

April 21, 2015 Daniel Grieco  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he recommended and caused…

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  • Robert Rex, Esq.

First Independent Financial Services Broker Sanctioned by Regulators-Dallas
First Independent Financial Services Broker Sanctioned by Regulators-Dallas 150 150 Robert Rex, Esq.

June 12, 2015 James Michael Ham  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he refused to appear…

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  • Robert Rex, Esq.

H.D. Vest Broker Fined/Suspended by Securities Regulators
H.D. Vest Broker Fined/Suspended by Securities Regulators 150 150 Robert Rex, Esq.

June 8, 2015 Susan Cornwall  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she accepted $38,000 from a…

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  • Robert Rex, Esq.

Newbridge Securities Fined by Regulators for Supervision Deficiencies
Newbridge Securities Fined by Regulators for Supervision Deficiencies 150 150 Robert Rex, Esq.

June 10, 2015 Newbridge Securities  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that the firm’s supervisory system did…

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  • Robert Rex, Esq.

Mark A. Bullivant-Former Raymond James Broker- Sanctioned by Securities Regulators
Mark A. Bullivant-Former Raymond James Broker- Sanctioned by Securities Regulators 150 150 Robert Rex, Esq.

June 10, 2015 According to FINRA records, Mark Andrew Bullivant, of Fort Myers, Florida,  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA)…

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  • Robert Rex, Esq.

Bolton Global Capital Sanctioned by Regulators – Failed to Deliver Prospectus on ETF Sales
Bolton Global Capital Sanctioned by Regulators – Failed to Deliver Prospectus on ETF Sales 150 150 Robert Rex, Esq.

June 9, 2015 Bolton Global Capital ,  entered into a Letter of Acceptance Waive and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  from at least May…

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  • Robert Rex, Esq.

Garden State Securities Discloses 21 Regulatory Events
Garden State Securities Discloses 21 Regulatory Events 150 150 Robert Rex, Esq.

Red Bank, NJ UPDATE June 2017-Garden State Securities reports 21 prior regulatory events on their FINRA records, including the following recent matter: 4/2017-Agreed to FINRA censure and a fine of…

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