StockBroker Misconduct Archives

Robert Rex, Esq.
January 11, 2016

Larry Werbel Indicted for $15M VGTL Securities Fraud

Larry Werbel Indicted for $15M VGTL Securities Fraud https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g January 11, 2016 January 11, 2016

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…

Robert Rex, Esq.
January 6, 2016

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 https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g January 6, 2016 January 6, 2016

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…

Robert Rex, Esq.
December 17, 2015

Dennis Van Patter Investigation -First Financial Services Group-Plano,TX

Dennis Van Patter Investigation -First Financial Services Group-Plano,TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g December 17, 2015 September 29, 2023

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…

Robert Rex, Esq.
December 16, 2015

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 https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g December 16, 2015 December 16, 2015

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…

Robert Rex, Esq.
December 16, 2015

Nine Indicted in South Florida in Oxford City Football Club Securities Fraud

Nine Indicted in South Florida in Oxford City Football Club Securities Fraud https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g December 16, 2015 December 16, 2015

December 11., 2015- Miami, Florida The FBI reports that nine individuals have been indicted for operating a Broward County telemarketing scheme (aka “boiler room”) that caused investors nationwide to lose…

Robert Rex, Esq.
December 16, 2015

UDF Shares Plummet From Over $17 to Under $9 in a Week-Hedge Fund Victim?

UDF Shares Plummet From Over $17 to Under $9 in a Week-Hedge Fund Victim? https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g December 16, 2015 December 16, 2015

UPDATE FEBRUARY 2016- FBI RAIDS UDF OFFICES IN GRAPEVINE, TEXAS—See this for details. December 16, 2015-Grapevine, Texas United Development Funding IV (UDF) , a real estate investment trust (REIT) based…

Robert Rex, Esq.
December 7, 2015

Allstate Finanical Stock Broker Sanctioned for Failing to Report IRS Liens-Melrose, Illinois

Allstate Finanical Stock Broker Sanctioned for Failing to Report IRS Liens-Melrose, Illinois https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g December 7, 2015 December 7, 2015

October 13, 2015 Jose Luis Rodriguez , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he willfully violated FINRA by-laws…

Robert Rex, Esq.
December 3, 2015

Brian Polito of Allen, Texas, Sentenced to 84 Months on Oil/Gas Fraud

Brian Polito of Allen, Texas, Sentenced to 84 Months on Oil/Gas Fraud https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g December 3, 2015 December 3, 2015

December 3, 2015- Dallas, Texas Allen, Texas resident Brian J. Polito was sentenced to 84 months in federal prison and ordered to pay $8.8 million following his May 2015 guilty…

Robert Rex, Esq.
December 3, 2015

Losses on RCS Capital (RCAP) ? Recovery Options for Investors.

Losses on RCS Capital (RCAP) ? Recovery Options for Investors. https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g December 3, 2015 December 3, 2015

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…

Robert Rex, Esq.
December 1, 2015

Allstate Financial Services Broker in Lexington, SC, Barred from Securities Industry

Allstate Financial Services Broker in Lexington, SC, Barred from Securities Industry https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g December 1, 2015 December 1, 2015

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…

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