• Robert Rex, Esq.

Global Arena Capital Brokers Sanctioned by Securities Regulators
Global Arena Capital Brokers Sanctioned by Securities Regulators 150 150 Robert Rex, Esq.

September 15, 2015- Washington, D.C. In a news release the Financial Industry Regulatory Authority (FINRA) announced finding numerous securities violations, including making  misleading sales pitches and  account churning at the…

read more
  • Robert Rex, Esq.

NEXT Financial Group May Be Sold According to Investment News
NEXT Financial Group May Be Sold According to Investment News 150 150 Robert Rex, Esq.

September 11, 2015 The Investment News reports that NEXT Financial Group, Inc. , a Houston based brokerage firm founded in 1999, is up for sale. NEXT Financial has over 700…

read more
  • Robert Rex, Esq.

Boca Raton/ Plantation Florida Men Charged with Securities Fraud in Connection with Caribbean Pacific Offering
Boca Raton/ Plantation Florida Men Charged with Securities Fraud in Connection with Caribbean Pacific Offering 150 150 Robert Rex, Esq.

September 3, 2015- Boca Raton/Plantation, Florida The Securities and Exchange Commission announced that Manny J. Shulman and David K. Herschman were charged with violating the securities laws for their involvement…

read more
  • Robert Rex, Esq.

Bankrate Inc. of North Palm Beach, Florida Fined $15 Million by Securities Regulator
Bankrate Inc. of North Palm Beach, Florida Fined $15 Million by Securities Regulator 150 150 Robert Rex, Esq.

September 8, 2015- North Palm Beach, Florida Bankrate Inc (RATE.N) resolved an action filed by the U.S. Securities and Exchange Commission that it engaged in accounting fraud to ensure that…

read more
  • Robert Rex, Esq.

Former Dallas/ Fort Worth Broker Faces Five Years for Securities Fraud
Former Dallas/ Fort Worth Broker Faces Five Years for Securities Fraud 150 150 Robert Rex, Esq.

September 15, 2015–Dallas, Texas In a Press Release, the FBI reports that Wade Lawrence, 43, of Dallas faces up to five years in prison for securities fraud in connection with offering…

read more
  • Robert Rex, Esq.

San Antonio Business Woman Sentenced to 7 Years for Wire Fraud
San Antonio Business Woman Sentenced to 7 Years for Wire Fraud 150 150 Robert Rex, Esq.

August 25, 2015- San Antonio, Texas Lea Ann Blystone, 48,  of San Antonio was sentenced to seven years in federal prison in connection with a $1.4 million wire fraud scheme.…

read more
  • Robert Rex, Esq.

Plano Texas Man Sentenced to 210 Months in Federal Prison for Phony Walt Disney Development Scam
Plano Texas Man Sentenced to 210 Months in Federal Prison for Phony Walt Disney Development Scam 150 150 Robert Rex, Esq.

September 1, 2015- Sherman, Texas Thomas W. Lucas, Jr. , 35 of Plano, Texas was sentenced to 210 months in federal prison following his conviction on 7 counts of wire…

read more
  • Robert Rex, Esq.

Dallas-Based WFG Investments Fined $175,000 by Texas State Securities Board
Dallas-Based WFG Investments Fined $175,000 by Texas State Securities Board 150 150 Robert Rex, Esq.

September 4, 2015- Austin, Texas Texas Securities Commissioner John Morgan entered a Disciplinary Order against Dallas based WFG Investments, Inc. , reprimanding and fining the company $175,000 for failing to…

read more
  • Robert Rex, Esq.

Former Corpus Christi Investment Adviser Sentenced on Securities Fraud Charges
Former Corpus Christi Investment Adviser Sentenced on Securities Fraud Charges 150 150 Robert Rex, Esq.

September 4, 2015- Austin, Texas The Texas State Securities Board (TSSB) announced that former Corpus Christi investment adviser Kenneth Wayne Graves was sentenced to concurrent 7 year state prison terms…

read more
  • Robert Rex, Esq.

Houston Attorney Indicted on Charges of Wire Fraud/Money Laundering
Houston Attorney Indicted on Charges of Wire Fraud/Money Laundering 150 150 Robert Rex, Esq.

September 1 , 2015- Los Angeles/ Houston The FBI announced the indictment of Stephen Young Kang, 46, of Newport Beach, CA and Houston, Texas, who is charged with wire fraud…

read more
Enter your
text here

You cannot copy content of this page