Cold Calling Archives

Robert Rex, Esq.
March 9, 2018

Mark Kaplan Investigation Update-Arbitration Claim to be Filed vs. Former Vanderbilt Securities Broker

Mark Kaplan Investigation Update-Arbitration Claim to be Filed vs. Former Vanderbilt Securities Broker https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 9, 2018 March 9, 2018

MARK KAPLAN INVESTIGATION UPDATE 3/9/2018 Boca Raton, FL-We are in process of preparing another arbitration claim against Vanderbilt Securities seeking damages for account churning and unsuitable investment recommendations by their…

Robert Rex, Esq.
July 26, 2017

SEC Charges 13 with Fraud Boiler Room Scam Targeting Senior Citizens-Long Island

SEC Charges 13 with Fraud Boiler Room Scam Targeting Senior Citizens-Long Island https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 26, 2017 July 26, 2017

July 2017 Thirteen individuals from two Long Island-based boiler rooms were charged with securities fraud by the Securities and Exchange Commission who alleges that they made hundreds of thousands of…

Robert Rex, Esq.
March 27, 2017

Ryan M. Murnane-Former Alexander Capital Broker-Discloses Discharge and Customer/Regulatory Complaints

Ryan M. Murnane-Former Alexander Capital Broker-Discloses Discharge and Customer/Regulatory Complaints https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 27, 2017 March 27, 2017

March 2017-New York According to publicly available records Ryan M. Murnane , (CRD# 4784140) , a former stockbroker who last worked for Alexander Capital and Woodstock Financial Group, discloses a pending customer dispute, 5…

Robert Rex, Esq.
January 17, 2017

Robert Estevez, Former Investors Capital Corp Broker-Discloses Regulatory Matters-NY

Robert Estevez, Former Investors Capital Corp Broker-Discloses Regulatory Matters-NY https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g January 17, 2017 January 17, 2017

March 2017- New York According to publicly available records Robert Estevez , (CRD# 3161419) , a stockbroker who previously worked for Investors Capital Corp and who is currently employed by Joseph Gunnar &…

Robert Rex, Esq.
June 17, 2016

Investors Capital Corp. Discloses 22 Regulatory Issues-Withdraws FINRA Registration

Investors Capital Corp. Discloses 22 Regulatory Issues-Withdraws FINRA Registration https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 17, 2016 June 17, 2016

UPDATE APRIL 2018-In December 2017, Investors Capital Corp. was hit with another FINRA regulatory sanction involving mutual funds. The firm was censured and agreed to pay $437,674 in restitution to…

Robert Rex, Esq.
May 16, 2016

Thomas Guerriero Sentenced on Oxford City Football Club Boiler Room Scam-South FLA

Thomas Guerriero Sentenced on Oxford City Football Club Boiler Room Scam-South FLA https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 16, 2016 May 16, 2016

May 13, 2016 The Sun Sentinel reports that Thomas Guerriero, former director of British-based Oxford City Football Club was sentenced to 12 years and 7 months for his role in…

Robert Rex, Esq.
February 17, 2016

West Palm Beach Man- Cecil Speight- Sentenced for Securities Fraud

West Palm Beach Man- Cecil Speight- Sentenced for 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/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 17, 2016 February 17, 2016

February 12, 2016 Cecil F. Speight of West Palm Beach, Florida, was sentenced to 42 months in prison following a guilty plea to conspiracy to commit mail and securities fraud.…

Robert Rex, Esq.
January 11, 2016

Fischer, Texas- Caldwell International Securities Named in Complaint by Securities Regulator

Fischer, Texas- Caldwell International Securities Named in Complaint by Securities Regulator https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g January 11, 2016 January 11, 2016

December 31, 2015- Fischer, Texas On December 31, 2015, the Financial Industry Regulatory Authority (FINRA) filed a complaint against Caldwell International Securities alleging that firm founder Greg Caldwell and supervisors Paul Jacobs…

Robert Rex, Esq.
September 20, 2015

South Florida Men Named in Alleged Commodities Scam by Regulators

South Florida Men Named in Alleged Commodities Scam by Regulators https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g September 20, 2015 September 20, 2015

September 17, 2015 The U S Commodity Futures Trading Commission (CFTC) announced the filing of an enforcement action in US District Court for the Southern District of Florida against: Mintco…