Citigroup/Smith Barney Archives

Protecting
Investor

the

Stockbroker Malpractice
Negligence, Fraud

Featured Investigations

Will Olinger-Valmark Securities-FL

GNV RE CP Fund-Celebration Pointe-FL

Chris Burch- Cornerstone- FL

Bill Tunink -LPL Financial Loans -Iowa

LPL Financial Investigations

Matt Nelson- Prime Capital-TX

Mark Kemp- McNally Financial-TX

Richard Brown-Cetera-Ft. Myers

Firms We Have Pursued for Clients

Robert Rex, Esq.
March 9, 2016

Claus Foerster-Former Smith Barney/Raymond James Broker Indicted for Fraud

Claus Foerster-Former Smith Barney/Raymond James Broker Indicted for 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 March 9, 2016 September 29, 2023

March 8, 2016- Greenville, South Carolina The United States Attorney’s Office for District of South Carolina announced that Claus C. Foerster, 55, of Spartanburg, South Carolina was indicted by a…

Robert Rex, Esq.
August 20, 2015

Texas Securities Commissioner John Morgan Fines Citigroup Global Markets $35,000

Texas Securities Commissioner John Morgan Fines Citigroup Global Markets $35,000 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 August 20, 2015 August 20, 2015

August 18, 2015-Austin, Texas John Morgan, Texas Securities Commissioner entered a Consent Order finding that Citigroup Global Markets, Inc. failed to monitor the registration status of sales assistants, some of…