• Robert Rex, Esq.

Austin Based NFP Advisor Services Fined $500K by Securities Regulators
Austin Based NFP Advisor Services Fined $500K by Securities Regulators 150 150 Robert Rex, Esq.

July 16, 2015- Dallas Texas NFP Advisor Services ( formerly NFP Securities, Inc.)  ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to…

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  • Robert Rex, Esq.

First Southwest Company Sanctioned by Securities Regulators
First Southwest Company Sanctioned by Securities Regulators 150 150 Robert Rex, Esq.

First Southwest Company ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from August 8, 2012 through April 26,…

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  • Robert Rex, Esq.

Bonham Texas Man Sentenced for Currency Trading Scheme
Bonham Texas Man Sentenced for Currency Trading Scheme 150 150 Robert Rex, Esq.

November 6, 2015- Sherman, Texas The FBI announced that Frank Edwin Pate, 47, of Bonham, Texas, was sentenced to 210 months in prison for operating a currency trading scheme. He…

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  • Robert Rex, Esq.

Florida Fraudsters Sentenced In Connection with Factoring Scheme
Florida Fraudsters Sentenced In Connection with Factoring Scheme 150 150 Robert Rex, Esq.

November 5, 2015- Orlando, Florida The FBI announced that Brian Newton , age 58, of New Smyrna Beach, FL, was sentenced to 15 years and 8 months and his co-defendant…

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  • Robert Rex, Esq.

Tampa Man Sentenced to 18 Months for Securities Fraud
Tampa Man Sentenced to 18 Months for Securities Fraud 150 150 Robert Rex, Esq.

November 4, 2015- Tampa, Florida The FBI announced that Gignesh Movalia was sentenced to 18 months in prison for operating a $9 million investment fraud scheme involving Facebook stock. Movalia…

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  • Robert Rex, Esq.

Michael Collins of Alice, Texas, Indicted for Securities Fraud
Michael Collins of Alice, Texas, Indicted for Securities Fraud 150 150 Robert Rex, Esq.

October 29, 2015- Alice, Texas The Texas State Securities Board announced that Michael Anthony Collins of Alice, TX, was indicted on charges of securities fraud, theft, and money laundering for…

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  • Robert Rex, Esq.

The Villages Is Subject of Study on Elder Financial Fraud
The Villages Is Subject of Study on Elder Financial Fraud 150 150 Robert Rex, Esq.

November 9, 2015- The Villages, Florida Florida State University College of Criminology and Criminal Justice in partnership with Merrill Lynch & Seniors vs. Crime is conducting research on elder financial…

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  • Robert Rex, Esq.

Robert Hinz-Former VSR Financial Services Broker-Discloses Customer Disputes
Robert Hinz-Former VSR Financial Services Broker-Discloses Customer Disputes 150 150 Robert Rex, Esq.

UPDATE DECEMBER 2016–FINRA records indicate that Robert M. Hinz, Jr. left VSR Financial Services in July 2016 and is not currently registered with any FINRA broker dealer. ORIGINAL POST – Seatlle,…

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  • Robert Rex, Esq.

Jetmir Ahmeti- Former Edward Jones Broker-Discloses Discharge and Regulatory Sanctions-Richardson, TX
Jetmir Ahmeti- Former Edward Jones Broker-Discloses Discharge and Regulatory Sanctions-Richardson, TX 150 150 Robert Rex, Esq.

Richardson, Texas UPDATE APRIL 2017–Jetmir Ahmeti is not currently registered with any broker dealer according to FINRA records.  Ahmeti was discharged from Edward Jones 5/2015. The firm made the following allegation…

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  • Robert Rex, Esq.

Larry Eckenrode of McKinney, Texas, Charged with Securities Fraud/Theft
Larry Eckenrode of McKinney, Texas, Charged with Securities Fraud/Theft 150 150 Robert Rex, Esq.

October 5, 2015-McKinney, Texas The Texas State Securities Board (TSSB) announced that Larry David Eckenrode of McKinney, TX, a three time felon, was arrested September 29, 2015, and charged with…

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