• Robert Rex, Esq.

VSR Financial Services Ordered to Pay Couple $307,000 For Recommendation of Alternative Investments
VSR Financial Services Ordered to Pay Couple $307,000 For Recommendation of Alternative Investments 150 150 Robert Rex, Esq.

February 17, 2016 A FINRA (FInancial Industry Regulatory Authority) arbitration panel recently ordered VSR Financial Services to pay  a Louisiana couple  over $300,000 in damages for losses on non-traded real estate…

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  • Robert Rex, Esq.

Miami Based Brickell Global Markets (formerly E.S. Financial Services) Pays $1 Million to Settle SEC Charges
Miami Based Brickell Global Markets (formerly E.S. Financial Services) Pays $1 Million to Settle SEC Charges 150 150 Robert Rex, Esq.

February 4, 2016- Miami, Florida The Securities & Exchange Commission (SEC) announced that Miami based Brickell Global Markets (formerly E.S. Financial Services) agreed to pay a $1 million penalty to…

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  • Robert Rex, Esq.

James Anderson-Former WFG Investments Broker-Sanctioned by Securities Regulator- San Antonio ,TX
James Anderson-Former WFG Investments Broker-Sanctioned by Securities Regulator- San Antonio ,TX 150 150 Robert Rex, Esq.

January 27, 2016- San Antonio, Texas James W. Anderson entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to…

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  • Robert Rex, Esq.

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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  • Robert Rex, Esq.

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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  • Robert Rex, Esq.

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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  • Robert Rex, Esq.

Larry Werbel Indicted for $15M VGTL Securities Fraud
Larry Werbel Indicted for $15M VGTL Securities Fraud 150 150 Robert Rex, Esq.

1/8/2016- Cleveland, Ohio Larry Werbel, 67,  of Evolution Partners Wealth Management in Chagrin Falls was indicted on charges that he participated in a scheme which defrauded about 100 investors out…

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  • Robert Rex, Esq.

Zachary Bader-Former Craig Scott Capital Broker Barred From Industry for Churning Customer Account
Zachary Bader-Former Craig Scott Capital Broker Barred From Industry for Churning Customer Account 150 150 Robert Rex, Esq.

November 13, 2015-Melville NY Rex Securities Law is investigating options for recovery for investors who suffered damages in brokerage accounts handled by Zachary T. Bader. Zachary Bader , entered into a Letter…

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  • Robert Rex, Esq.

Dennis Van Patter Investigation -First Financial Services Group-Plano,TX
Dennis Van Patter Investigation -First Financial Services Group-Plano,TX 150 150 Robert Rex, Esq.

November 20, 2015-Plano, Texas Dennis Van Patter , a broker with VSR FInancial Services operates his financial service business through First Financial Services Group in Plano, Texas. Van Patter recently entered into a…

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  • Robert Rex, Esq.

Marvin Slater of Dallas Suspended by Texas State Securities Board for Sale of Verto Capital Management Notes
Marvin Slater of Dallas Suspended by Texas State Securities Board for Sale of Verto Capital Management Notes 150 150 Robert Rex, Esq.

December 10, 2015 Austin, Texas John Morgan, Securities Commissioner of the Texas State Securities Board (TSSB) issued a disciplinary order suspending investment adviser Marvin M Slater of Dallas, TX, for 90…

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