ETFs Exchange Traded Funds

  • Robert Rex, Esq.

Justin Amaral Investigation Update-Customer Wins $1M in Arbitration
Justin Amaral Investigation Update-Customer Wins $1M in Arbitration 150 150 Robert Rex, Esq.

Boston, MA In December 2015, a FINRA arbitration panel awarded a former customer of Morgan Stanley Smith Barney Broker Justin Amaral over $1 million, which included over $500,000 in punitive…

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  • Robert Rex, Esq.

Recovery Options for Investors Purchasing Private Placements From World Equity Group
Recovery Options for Investors Purchasing Private Placements From World Equity Group 150 150 Robert Rex, Esq.

If you have losses on private placement investments or exchange traded funds (ETFs) purchased from World Equity Group, we may be able to help you recover damages. World Equity Group…

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  • Robert Rex, Esq.

Summit Brokerage Services (Boca Raton) Fined $250,000 by Regulators- ETF Sales
Summit Brokerage Services (Boca Raton) Fined $250,000 by Regulators- ETF Sales 150 150 Robert Rex, Esq.

December 2, 2015- Boca Raton, FL Summit Brokerage Services  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between June…

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  • Robert Rex, Esq.

Recovery Options for Investors Who Purchased Oil & Gas Investments from Berthel Fisher
Recovery Options for Investors Who Purchased Oil & Gas Investments from Berthel Fisher 150 150 Robert Rex, Esq.

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…

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  • Robert Rex, Esq.

GMS Group Sanctioned by Regulators For Failure to Supervise Sale of ETFs
GMS Group Sanctioned by Regulators For Failure to Supervise Sale of ETFs 150 150 Robert Rex, Esq.

October 21, 2015 GMS Group, LLC and Carmine Capone, a general securities sales supervisor employed by GMS Group , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial…

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  • Robert Rex, Esq.

Jason Figueroa-Former GMS Group Broker Discloses $750K Damage Claim-Boca Raton, FL
Jason Figueroa-Former GMS Group Broker Discloses $750K Damage Claim-Boca Raton, FL 150 150 Robert Rex, Esq.

UPDATE APRIL 2017-BOCA RATON, FL–The FINRA records of Jason L. Figueroa disclose that in pending FINRA arbitration case #15-03075 a customer of GMS Group alleges damages of $750,000 for unsuitable…

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  • Robert Rex, Esq.

Virtus Investment Advisors Fined $16.5 Million For Using False Performance Data on F-Squared Alpha Sector ETFs.
Virtus Investment Advisors Fined $16.5 Million For Using False Performance Data on F-Squared Alpha Sector ETFs. 150 150 Robert Rex, Esq.

November 16, 2015 Virtus Investment Advisers agreed to pay $16.5 million in fines to settle charges with the SEC that it publicized false performance data for the AlphaSector exchange-traded fund…

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  • Robert Rex, Esq.

First Southwest Company Sanctioned by Securities Regulators
First Southwest Company Sanctioned by Securities Regulators 150 150 Robert Rex, Esq.

First Southwest Company ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from August 8, 2012 through April 26,…

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  • Robert Rex, Esq.

Losses on F-Squared Investments (Good Harbor Financial US Tactical Core & AlphaSector Allocator Select) May be Recoverable
Losses on F-Squared Investments (Good Harbor Financial US Tactical Core & AlphaSector Allocator Select) May be Recoverable 150 150 Robert Rex, Esq.

July 8, 2015 F-Squared Investments, Inc, an exchange-traded fund manager,  filed for Chapter 11 bankruptcy protection in the U.S. Bankruptcy Court for the District of Delaware. In December of 2014,…

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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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