Unsuitable Mutual Fund Switching Leads to Fine/Suspension for Stuart, FL, Stock Broker

Unsuitable Mutual Fund Switching Leads to Fine/Suspension for Stuart, FL, Stock Broker 150 150 Robert Rex, Esq.

January 6, 2016- Stuart, Florida Jeffrey Davidson entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with American Portfolio…

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John D. Wiswell-American Financial Portfolios Services Broker Sanctioned by Regulators-Stuart, FLA

John D. Wiswell-American Financial Portfolios Services Broker Sanctioned by Regulators-Stuart, FLA 150 150 Robert Rex, Esq.

December 30, 2015- Stuart, Florida John D. Wiswell entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with American…

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Geoffrey Schiffrin, Finance 500 Broker Sanctioned for Penny Stock Sales

Geoffrey Schiffrin, Finance 500 Broker Sanctioned for Penny Stock Sales 150 150 Robert Rex, Esq.

December 28, 2015- Delray Beach, Florida Geoffrey Schiffrin entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with…

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Finance 500 Broker Sanctioned for Penny Stock Violations-Delray Beach, FL

Finance 500 Broker Sanctioned for Penny Stock Violations-Delray Beach, FL 150 150 Robert Rex, Esq.

January 11, 2016 Robert E. Richards entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with Finance 500,…

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Rex Securities Law Investment Fraud Attorney Investigates Fred Monroe, Jr. formerly with Voya Financial Advisors

Rex Securities Law Investment Fraud Attorney Investigates Fred Monroe, Jr. formerly with Voya Financial Advisors 150 150 Robert Rex, Esq.

Last Updated: September 2023 (Albany, NY) Fred Monroe, Jr. Investigation Summary Here’s what you need to know about Albany, NY, stockbroker Fred Monroe,Jr.: Name: Mr. Frederick Eugene Monroe, Jr. Current…

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SEC Names 11 Former Superior Bank Officers/Directors With Fraud

SEC Names 11 Former Superior Bank Officers/Directors With Fraud 150 150 Robert Rex, Esq.

January 14, 2016- Tallahassee, Florida The Securities and Exchange Commission (SEC) announced fraud charges against 11 former board members and executives of Birmingham, Alabama- based Superior Bank, which failed in…

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Former Austinite Sentenced for Marty Robbins Antique Scam

Former Austinite Sentenced for Marty Robbins Antique Scam 150 150 Robert Rex, Esq.

January 15, 2016- Austin, Texas The FBI announced that Rose Marie O’Reilly, 63, of La Grange, TX, was sentenced to 48 months in federal prison in connection with a $1,4…

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Finance 500 Broker Sanctioned by Securities Regulators for Failure to Supervise Florida Office

Finance 500 Broker Sanctioned by Securities Regulators for Failure to Supervise Florida Office 150 150 Robert Rex, Esq.

December 29 , 2015 Paul J. Savage entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with Finance…

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Stock Broker Lies to Client About Account Value- Barred From Industry by Regulator

Stock Broker Lies to Client About Account Value- Barred From Industry by Regulator 150 150 Robert Rex, Esq.

December 30 , 2015-Dallas, Texas Jose A. Zapata entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with Argentus…

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Ricky Moore-Sagepoint Financial Broker-Discloses Regulatory Matter- Angleton, Texas

Ricky Moore-Sagepoint Financial Broker-Discloses Regulatory Matter- Angleton, Texas 150 150 Robert Rex, Esq.

Angleton, TX December 31, 2015 The Financial Industry Regulatory Authority  (FINRA) filed a complaint against stockbroker Ricky Randon Moore, alleging that while working for Commonwealth Financial Network in Angleton, Texas,…

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