• Robert Rex, Esq.

Boynton Beach, FL Resident Pleads Guilty in Precious Metal Fraud Scheme
Boynton Beach, FL Resident Pleads Guilty in Precious Metal Fraud Scheme 150 150 Robert Rex, Esq.

June 17, 2015-Palm Beach County Florida Jeffrey Schuler, 54, of Boynton Beach, Florida pled guilty to one count of wire fraud, in connection with the operation of Fort Lauderdale based…

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  • Robert Rex, Esq.

First Allied Securities Broker Sanctioned for Sale of Unsuitable Exchange Traded Funds
First Allied Securities Broker Sanctioned for Sale of Unsuitable Exchange Traded Funds 150 150 Robert Rex, Esq.

April 21, 2015 Daniel Grieco  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he recommended and caused…

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  • Robert Rex, Esq.

David James LeDoux-Boca Raton StockBroker Sanctioned For Failing to Report Tax Liens
David James LeDoux-Boca Raton StockBroker Sanctioned For Failing to Report Tax Liens 150 150 Robert Rex, Esq.

June 2, 2015-Boca Raton, FL David James LeDoux ,  entered into a Letter of Acceptance Waive and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  he failed…

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  • Robert Rex, Esq.

Suntrust Investment Services Broker Pleads Guilty to Wire Fraud, Sentenced to 41 Months
Suntrust Investment Services Broker Pleads Guilty to Wire Fraud, Sentenced to 41 Months 150 150 Robert Rex, Esq.

Staunton, Virginia Kirsten Flynn Hawkins, 45, pled guilty to wire fraud in January 2015, and in May 2015, was sentenced to 41 months in prison and ordered to pay restitution…

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  • Robert Rex, Esq.

Corpus Christi Financial Advisor Indicted for Fraud in Connection with Sale of Investment Contracts
Corpus Christi Financial Advisor Indicted for Fraud in Connection with Sale of Investment Contracts 150 150 Robert Rex, Esq.

June 16, 2015-Austin, Texas Kenneth Wayne Graves, a former investment adviser from Corpus Christi has been indicted in Nueces County on fraud and other charges related to the sale of…

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  • Robert Rex, Esq.

Regulators Sue Broker for Trying to Inherit $1.8M from Elderly Client with Alzheimer’s
Regulators Sue Broker for Trying to Inherit $1.8M from Elderly Client with Alzheimer’s 150 150 Robert Rex, Esq.

June 11, 2015 FINRA Department of Enforcement filed Disciplinary Proceeding No. 2012031181001 against Scottsdale, AZ, broker John Anthony Waszolek alleging that he attempted to have his 81 year old customer…

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  • Robert Rex, Esq.

Losses on Cushing Royalty & Income Fund ??
Losses on Cushing Royalty & Income Fund ?? 150 150 Robert Rex, Esq.

June 15,2015, Cushing & Royalty Income Fund (SRF) which traded at $25 in February 2012 currently trades at less than $5. It is a leveraged fund which invests in oil…

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  • Robert Rex, Esq.

Round Rock Texas Man Indicted–Oil/Gas Ponzi Scheme
Round Rock Texas Man Indicted–Oil/Gas Ponzi Scheme 150 150 Robert Rex, Esq.

June 3, 2015-Austin, Texas WIlliam Allen Risinger, of Round Rock, Texas,  was indicted May 19, 2015 on allegations that between 2010-2014 , through his company RHM Exploration, he promoted and sold…

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  • Robert Rex, Esq.

Lincoln Nebraska Couple Sentenced for Fraud on Investors
Lincoln Nebraska Couple Sentenced for Fraud on Investors 150 150 Robert Rex, Esq.

June 10, 2015-Omaha US Attorney for Nebraska Deborah Gilg announced that Scott Usher, 46, of Lincoln, was sentenced to seven years in prison and ordered to pay over $500,000 in…

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  • Robert Rex, Esq.

Laurie Mayfield of Fredericksburg Texas Pleads Guilty to Wire Fraud
Laurie Mayfield of Fredericksburg Texas Pleads Guilty to Wire Fraud 150 150 Robert Rex, Esq.

June 9, 2015-San Antonio, Texas Laurie Mayfield (aka “Laurie H. Scott“) , 54, of Fredericksburg, Texas, pleaded guilty to one count of wire fraud to resolve allegations that from January…

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