Concentrated Positions Archives

Robert Rex, Esq.
April 11, 2016

Jerry Lowrimore-Former Hilltop Securities Broker- Settles Customer Suit Over Precious Metals Investments-Dallas, TX

Jerry Lowrimore-Former Hilltop Securities Broker- Settles Customer Suit Over Precious Metals Investments-Dallas, 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/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 11, 2016 October 3, 2023

October 2023-Dallas, Texas The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and…

Robert Rex, Esq.
April 4, 2016

Mickey Long Investigation Update-VSR Financial-Plano, TX

Mickey Long Investigation Update-VSR Financial-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/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 4, 2016 October 4, 2023

Plano, Texas Rex Securities Law is investigating VSR Financial Services broker M. F. (Mickey) Long in connection with the sale of fixed annuities, limited partnerships, direct investments in oil & gas, and real estate securities.…

Robert Rex, Esq.
April 4, 2016

Robert Hardcastle Investigation-VSR Financial Services Stockbroker

Robert Hardcastle Investigation-VSR Financial Services Stockbroker 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 April 4, 2016 October 4, 2023

Chesterfield, MO Rex Securities Law is investigating VSR Financial Services broker Robert B. Hardcastle in connection with the sale of fixed annuities, mutual funds, equities, limited partnerships, direct investments in oil & gas, and…

Robert Rex, Esq.
March 26, 2016

Brian K. Decker Investigation-Legend Securities Broker

Brian K. Decker Investigation-Legend 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 26, 2016 March 26, 2016

See this for MAY 2018 UPDATE. Brian Decker barred from securities industry by regulators. ORIGINAL POST MARCH 2016 FINRA records report that Brian K. Decker, who has been registered with…

Robert Rex, Esq.
March 20, 2016

Update March 2016: SEC Alert Warning Investors to Be Wary of Oil & Gas Investments

Update March 2016: SEC Alert Warning Investors to Be Wary of Oil & Gas Investments 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 20, 2016 March 20, 2016

MARCH 2016-After the dramatic collapse of oil prices in the past year, it is apparent that a 2013 SEC investor alert, which we discussed nearly three years ago, was something investor would…

Robert Rex, Esq.
March 17, 2016

Recovery Options for Losses on Chesapeake Energy Investments

Recovery Options for Losses on Chesapeake Energy Investments 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 17, 2016 March 17, 2016

March 16, 2016 Chesapeake Energy, Chesapeake Exploration, SandRidge Energy and other defendants were named in a class action filed by landowners alleging antitrust violations and bid rigging designed to depress…

Robert Rex, Esq.
March 15, 2016

Lisa Lowi Investigation-Former RBC Capital Broker-W. Palm Beach, FL

Lisa Lowi Investigation-Former RBC Capital Broker-W. Palm Beach, FL 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 15, 2016 March 15, 2016

November 2017-South Florida We are investigating former RBC Capital Markets/ Janney Montgomery Scott broker Lisa J Lowi of West Palm Beach, Florida. According to her official FINRA record, Lowi was recently barred from the…

Robert Rex, Esq.
March 13, 2016

Stockbroker Leavitt Sanders has 53 Customer Complaints- Invest Financial Corporation/ Triad -West Point, Georgia

Stockbroker Leavitt Sanders has 53 Customer Complaints- Invest Financial Corporation/ Triad -West Point, Georgia 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 13, 2016 March 13, 2016

February 2019- West Point, Georgia We are investigating Leavitt F. Sanders, of Leavitt Financial Group, who was a registered stockbroker with the following broker dealers. He is not currently registered…

Robert Rex, Esq.
March 8, 2016

Recovery Options for Investors Who Purchased Oil & Gas Investments from Berthel Fisher

Recovery Options for Investors Who Purchased Oil & Gas Investments from Berthel Fisher 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 8, 2016 March 8, 2016

The Financial Industry Regulatory Authority (FINRA) recently fined Berthel Fisher and their affiliate Securities Management & Research $775,000 for supervisory failures related to the sale of various alternative investments, including…