• Robert Rex, Esq.

North Carolina Securities Regulators Announce Sentencing of Securities Fraudsters
North Carolina Securities Regulators Announce Sentencing of Securities Fraudsters 150 150 Robert Rex, Esq.

June 2015-NC Securities Division The North Carolina Securities Division‘s June 2015 Newsletter announced the sentencing of the following individuals for securities related violations: Michael Anthony Jenkins pleaded guilty to three…

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  • Robert Rex, Esq.

Alfaro’s San Antonio Based Company Primera Energy Files for Bankruptcy Protection
Alfaro’s San Antonio Based Company Primera Energy Files for Bankruptcy Protection 150 150 Robert Rex, Esq.

June 8, 2015-San Antonio, Texas Primera Energy filed for Chapter 11 bankruptcy protection in the U.S. Bankruptcy Court for the Western District of Texas. The filing came a day following…

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  • Robert Rex, Esq.

Houston Couple Awarded $1.1 Million Against Broker Terry Chilton for Losses on Annuities
Houston Couple Awarded $1.1 Million Against Broker Terry Chilton for Losses on Annuities 150 150 Robert Rex, Esq.

May 15, 2015-Houston, Texas A FINRA (Financial Industry Regulatory Authority) arbitration panel in Houston, Texas, awarded over $1.1 million to a couple who filed a claim alleging that the annuities…

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  • Robert Rex, Esq.

Securities Service Network Acquires The Horizon Group
Securities Service Network Acquires The Horizon Group 150 150 Robert Rex, Esq.

June 9, 2015 The Investment News reports that Knoxville, Tennessee-based broker dealer Securities Service Network (SSN) has acquired The Horizons Group, a firm previously affiliated with Cadaret, Grant & Co.…

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  • Robert Rex, Esq.

Investment Fraud Workshop Set for June 15, Salina Public Library
Investment Fraud Workshop Set for June 15, Salina Public Library 150 150 Robert Rex, Esq.

A free workshop  discussing the tactics and schemes of fraudsters and scammers will be held on June 15, 2015, from 12:45-1:45pm at the Salina Public Library in the Prescott Meeting…

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  • Robert Rex, Esq.

Otis Bradley-Former Gilford Securities Broker Barred From Securities Industry
Otis Bradley-Former Gilford Securities Broker Barred From Securities Industry 150 150 Robert Rex, Esq.

UPDATE-In October 2015, Otis Bradley was permanently barred from the securities industry by FINRA. Original Post–April 27, 2015 Otis T. Bradley, was named in a complaint filed by FINRA alleging…

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  • Robert Rex, Esq.

RBC Capital Markets Fined $1 Million Over Sale of Reverse Convertible Investments
RBC Capital Markets Fined $1 Million Over Sale of Reverse Convertible Investments 150 150 Robert Rex, Esq.

April 23, 2015 RBC Capital Markets ,  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  from 2008 through 2012 the firm…

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  • Robert Rex, Esq.

Barry Brower- Ameriprise–San Antonio, TX, Sanctioned for Discretionary Trading
Barry Brower- Ameriprise–San Antonio, TX, Sanctioned for Discretionary Trading 150 150 Robert Rex, Esq.

UPDATE-March 24, 2016 Barry S. Brower is not currently registered with any broker dealer.   Our Original Post–March 6, 2015,  Fair Oaks Ranch, Texas  Barry S. Brower,  entered into a Letter of…

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  • Robert Rex, Esq.

Phil Williamson Charged in South Florida Securities Fraud
Phil Williamson Charged in South Florida Securities Fraud 150 150 Robert Rex, Esq.

June 1, 2015 Phil D. Williamson, 48, of Miami, Florida, was charged with investment advisor fraud according to an FBI Press Release which reports that he raised over two million…

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  • Robert Rex, Esq.

Cabot Investment Properties Execs Face Criminal Charges
Cabot Investment Properties Execs Face Criminal Charges 150 150 Robert Rex, Esq.

June 3, 2015 Carlton Cabot, 52, of Stamford, Connecticut and Timothy Kroll, 42, of New Hope, Pennsylvania, were named in a criminal complaint accusing them of of misappropriating funds from…

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