• Robert Rex, Esq.

Robert K Smith- Former Berthel Fisher Broker-Discloses Customer Disputes- Mobile, Alabama
Robert K Smith- Former Berthel Fisher Broker-Discloses Customer Disputes- Mobile, Alabama 150 150 Robert Rex, Esq.

UPDATE MARCH 2017-In  April 2016 Robert K. Smith was suspended by FINRA for three. The suspension was lifted July 12, 2016.  Smith currently discloses a total of 13 prior customer…

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  • Robert Rex, Esq.

Brian M. White -Former Hornor/Townsend/Kent Broker-Barred from Securities Industry-Woodlands, TX
Brian M. White -Former Hornor/Townsend/Kent Broker-Barred from Securities Industry-Woodlands, TX 150 150 Robert Rex, Esq.

June 30, 2015 A FINRA Department of Enforcement Hearing Panel made a decision that Brian Michael White engaged in undisclosed outside business activities and  provided false testimony to FINRA staff in…

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  • Robert Rex, Esq.

Ascendiant Capital Markets Sanctioned by Securities Regulator
Ascendiant Capital Markets Sanctioned by Securities Regulator 150 150 Robert Rex, Esq.

June 25, 2015 Ascendiant Capital Markets entered into an Order Accepting Offer of Settlement  (Order) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that the company violated FINRA By-Laws,…

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  • Robert Rex, Esq.

Ohio Division of Securities Issues 2015 Third Quarter Bulletin-Civil & Criminal Securities Actions
Ohio Division of Securities Issues 2015 Third Quarter Bulletin-Civil & Criminal Securities Actions 150 150 Robert Rex, Esq.

July 6, 2015- Columbus, Ohio The Ohio Division of Securities publishes a Securities Bulletin quarterly summarizing recent changes to securities rules and laws in the State of Ohio, reporting on…

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  • Robert Rex, Esq.

Losses on F-Squared Investments (Good Harbor Financial US Tactical Core & AlphaSector Allocator Select) May be Recoverable
Losses on F-Squared Investments (Good Harbor Financial US Tactical Core & AlphaSector Allocator Select) May be Recoverable 150 150 Robert Rex, Esq.

July 8, 2015 F-Squared Investments, Inc, an exchange-traded fund manager,  filed for Chapter 11 bankruptcy protection in the U.S. Bankruptcy Court for the District of Delaware. In December of 2014,…

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  • Robert Rex, Esq.

Former Aegis Capital Broker Malcolm Segal Sued by SEC on Ponzi Scheme
Former Aegis Capital Broker Malcolm Segal Sued by SEC on Ponzi Scheme 150 150 Robert Rex, Esq.

July 1, 2015-Langehorn, PA/ Boynton Beach, FL The Securities and Exchange Commission (SEC) filed a civil action against Malcolm Segal, 69, of Langhorne, Pennsylvania and Boynton Beach, FL, alleging that…

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  • Robert Rex, Esq.

FINRA Arbitrators Order BNP Paribas to Pay Customer over $16 Million
FINRA Arbitrators Order BNP Paribas to Pay Customer over $16 Million 150 150 Robert Rex, Esq.

June 23, 2015- New York A FINRA arbitration panel ordered BNP Paribas Securities Corp. to pay a former customer over $16 million dollars for the sale and marketing of an unsuitable…

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  • Robert Rex, Esq.

Tampa Woman Pleads Guilty to Embezzlement of Church Funds
Tampa Woman Pleads Guilty to Embezzlement of Church Funds 150 150 Robert Rex, Esq.

July 2 , 2015-Tampa, FL The FBI announced that Juliet Ellis, 45, pleaded guilty to one count of wire fraud in connection with the embezzlement of funds from Palma Ceia…

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  • Robert Rex, Esq.

Dougherty & Company Assessed $250K Fine for Failure to Perform Due Diligence
Dougherty & Company Assessed $250K Fine for Failure to Perform Due Diligence 150 150 Robert Rex, Esq.

June 18, 2015 Dougherty & Company, a broker dealer and investment adviser with its principal office located in Minneapolis, Minnesota,  consented to the entry of an Order Instituting Administrative and…

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  • Robert Rex, Esq.

Colorado Man Indicted for Securities Fraud in Connection with Ohio Oil & Gas Deals
Colorado Man Indicted for Securities Fraud in Connection with Ohio Oil & Gas Deals 150 150 Robert Rex, Esq.

June 25, 2015 According to the Colorado Division of Securities , Adam Edward Hirschfeld, 32, of Centennial, Colorado has been indicted for securities fraud in connection with raising money at least…

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