• Robert Rex, Esq.

Losses on RCS Capital (RCAP) ? Recovery Options for Investors.
Losses on RCS Capital (RCAP) ? Recovery Options for Investors. 150 150 Robert Rex, Esq.

December 3, 2015 RCS Capital Corp. (RCAP) was trading at over $38 in April 2014. At the time of this writing it is trading for 43 cents. Investors who have…

read more
  • Robert Rex, Esq.

Allstate Financial Services Broker in Lexington, SC, Barred from Securities Industry
Allstate Financial Services Broker in Lexington, SC, Barred from Securities Industry 150 150 Robert Rex, Esq.

October 6, 2015 – Lexington, SC Joseph Murry Snyder, III  , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed…

read more
  • Robert Rex, Esq.

Summit Brokerage Services Broker Sanctioned for Borrowing from Customer
Summit Brokerage Services Broker Sanctioned for Borrowing from Customer 150 150 Robert Rex, Esq.

October 15, 2015 – Fredericksburg, VA Jonathan D. Freeze  , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he borrowed $20,000…

read more
  • Robert Rex, Esq.

Former FINTEGRA Broker Sanctioned by Securities Regulators
Former FINTEGRA Broker Sanctioned by Securities Regulators 150 150 Robert Rex, Esq.

October 12, 2015 – Granger, Indiana Albert Lee Rosebush  , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that Rosebush violated FINRA rules…

read more
  • Robert Rex, Esq.

Reef Securities Broker Harris W. Kirk Investigation
Reef Securities Broker Harris W. Kirk Investigation 150 150 Robert Rex, Esq.

SEE THIS FOR February 2016 Update. November 25, 2015- Richardson, Texas  Rex Securities Law is investigating Harris Wayne Kirk ,  a stock broker who on October 1, 2015,  rejoined  Reef Securities, Inc. According to FINRA records,…

read more
  • Robert Rex, Esq.

Garland Wayne Benton, Former Reef Securities Broker- Investigation
Garland Wayne Benton, Former Reef Securities Broker- Investigation 150 150 Robert Rex, Esq.

November 25, 2015- Richardson, Texas  Rex Securities Law is investigating Garland Wayne Benton, Jr.  who was  a stock broker with Reef Securities, Inc.  from June 2002 until April 2015  when he was terminated from Reef Securities, Inc. , who permitted…

read more
  • Robert Rex, Esq.

Update on Recovery of Reef Oil & Gas Investment Losses
Update on Recovery of Reef Oil & Gas Investment Losses 150 150 Robert Rex, Esq.

Reef Oil and Gas of Richardson, Texas, has been sponsoring energy related investments for many years.   These investments are marketed by many different brokerage firms nationwide. Investors who have suffered…

read more
  • Robert Rex, Esq.

Tyler, Texas- Insurance Agent Pleads Guilty to $5.4 Million Ponzi Scheme
Tyler, Texas- Insurance Agent Pleads Guilty to $5.4 Million Ponzi Scheme 150 150 Robert Rex, Esq.

November 19, 2015- Tyler, Texas The FBI announced that Robert B. Hahn of Tyler, TX, pleaded guilty to wire fraud and money laundering in connection with an alleged  fraud he…

read more
  • Robert Rex, Esq.

Garrett “Drew” Ahrens- Former LPL Financial Broker-Discloses Sanction and Settlements Over REIT Investments-Lafayette, LA
Garrett “Drew” Ahrens- Former LPL Financial Broker-Discloses Sanction and Settlements Over REIT Investments-Lafayette, LA 150 150 Robert Rex, Esq.

May 2017- Lafayette, Louisiana Garrett A. Ahrens  (aka Drew Ahrens) , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between…

read more
  • Robert Rex, Esq.

Robert W. Baird & Co. Broker Sanctioned for Trading Without Approval
Robert W. Baird & Co. Broker Sanctioned for Trading Without Approval 150 150 Robert Rex, Esq.

October 16, 2015- Portland, Oregon James G. Christianson  , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from July 2011…

read more
Enter your
text here

You cannot copy content of this page