Rex Securities Law

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

Otis Bradley-Former Gilford Securities Broker Barred From Securities Industry
Otis Bradley-Former Gilford Securities Broker Barred From Securities Industry 150 150 Robert Rex, Esq.

UPDATE-In October 2015, Otis Bradley was permanently barred from the securities industry by FINRA. Original Post–April 27, 2015 Otis T. Bradley, was named in a complaint filed by FINRA alleging…

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  • Robert Rex, Esq.

Former FSC Securities Broker In Grapevine, TX, Barred From Securities Industry
Former FSC Securities Broker In Grapevine, TX, Barred From Securities Industry 150 150 Robert Rex, Esq.

April 10, 2015-Grapevine, Texas  James E. Scott , entered into an Order Accepting Offer of Settlement (Order) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he aided and abetted…

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  • Robert Rex, Esq.

Cadaret Grant Broker Suspended/Fined by Regulators for Over-concentration of REIT Investments
Cadaret Grant Broker Suspended/Fined by Regulators for Over-concentration of REIT Investments 150 150 Robert Rex, Esq.

April 9, 2015-Point Pleasant, NJ Douglas William Finlay, Jr.  , entered into a  Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that effected…

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  • Robert Rex, Esq.

Richard Ohrn-Boca Raton Broker Sanctioned by Securities Regulators for Converting Customer Funds
Richard Ohrn-Boca Raton Broker Sanctioned by Securities Regulators for Converting Customer Funds 150 150 Robert Rex, Esq.

April 28, 2015-Boca Raton, FL Richard Winsor Ohrn ,  was named in an Order Accepting Offer of Settlement (Order) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  while he was…

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  • Robert Rex, Esq.

RBC Capital Markets Fined $1 Million Over Sale of Reverse Convertible Investments
RBC Capital Markets Fined $1 Million Over Sale of Reverse Convertible Investments 150 150 Robert Rex, Esq.

April 23, 2015 RBC Capital Markets ,  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  from 2008 through 2012 the firm…

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  • Robert Rex, Esq.

Sam Stull-Grapevine Texas StockBroker-Sanctioned for Forgery
Sam Stull-Grapevine Texas StockBroker-Sanctioned for Forgery 150 150 Robert Rex, Esq.

March 30, 2015, Grapevine, Texas  Sam Marshall Stull  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he forged the signatures of…

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  • Robert Rex, Esq.

Royce Simpson-Seabrook Texas Stockbroker-Sanctioned by Securities Regulator
Royce Simpson-Seabrook Texas Stockbroker-Sanctioned by Securities Regulator 150 150 Robert Rex, Esq.

March 11, 2015, Seabrook, Texas  Royce O. Simpson,  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to provide written…

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  • Robert Rex, Esq.

Leslie King-Plano Texas Stock Broker Sanctioned by Securities Regulator
Leslie King-Plano Texas Stock Broker Sanctioned by Securities Regulator 150 150 Robert Rex, Esq.

March 24, 2015, Plano, Texas  Leslie Lynn King   entered into an Order Accepting Offer of Settlement (Order) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he aided and abetted a…

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  • Robert Rex, Esq.

Barry Brower- Ameriprise–San Antonio, TX, Sanctioned for Discretionary Trading
Barry Brower- Ameriprise–San Antonio, TX, Sanctioned for Discretionary Trading 150 150 Robert Rex, Esq.

UPDATE-March 24, 2016 Barry S. Brower is not currently registered with any broker dealer.   Our Original Post–March 6, 2015,  Fair Oaks Ranch, Texas  Barry S. Brower,  entered into a Letter of…

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