Failure to Supervise Archives

Robert Rex, Esq.
November 11, 2015

Brian Berger Facing Wire Fraud Charges-Coral Springs, FL

Brian Berger Facing Wire Fraud Charges-Coral Springs, 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/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g November 11, 2015 November 11, 2015

April 2018 UPDATE-Berger pleads guilty. See this for details. UPDATE October 2016-BRIAN BERGER FACES WIRE FRAUD CHARGES. The Sun Sentinel reports that Brian M. Berger, 39, of Coral Springs, pleaded…

Robert Rex, Esq.
November 10, 2015

Michael Collins of Alice, Texas, Indicted for Securities Fraud

Michael Collins of Alice, Texas, Indicted 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/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g November 10, 2015 November 10, 2015

October 29, 2015- Alice, Texas The Texas State Securities Board announced that Michael Anthony Collins of Alice, TX, was indicted on charges of securities fraud, theft, and money laundering for…

Robert Rex, Esq.
November 10, 2015

The Villages Is Subject of Study on Elder Financial Fraud

The Villages Is Subject of Study on Elder Financial 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 November 10, 2015 November 10, 2015

November 9, 2015- The Villages, Florida Florida State University College of Criminology and Criminal Justice in partnership with Merrill Lynch & Seniors vs. Crime is conducting research on elder financial…

Robert Rex, Esq.
November 10, 2015

Robert Hinz-Former VSR Financial Services Broker-Discloses Customer Disputes

Robert Hinz-Former VSR Financial Services Broker-Discloses Customer Disputes 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 November 10, 2015 October 4, 2023

UPDATE DECEMBER 2016–FINRA records indicate that Robert M. Hinz, Jr. left VSR Financial Services in July 2016 and is not currently registered with any FINRA broker dealer. ORIGINAL POST – Seatlle,…

Robert Rex, Esq.
September 20, 2015

Garrett Ahrens, Former LPL Financial Broker Receives Notice of Investigation by Securities Regulator

Garrett Ahrens, Former LPL Financial Broker Receives Notice of Investigation 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/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g September 20, 2015 September 20, 2015

September 18, 2015- Lafayette, Lousiana The Investment News reports that Garrett Andrew Ahrens, a broker ranked as one of the top advisers in Louisiana by Barron’s, with assets under management…

Robert Rex, Esq.
September 9, 2015

Dallas-Based WFG Investments Fined $175,000 by Texas State Securities Board

Dallas-Based WFG Investments Fined $175,000 by Texas State Securities Board 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 September 9, 2015 September 9, 2015

September 4, 2015- Austin, Texas Texas Securities Commissioner John Morgan entered a Disciplinary Order against Dallas based WFG Investments, Inc. , reprimanding and fining the company $175,000 for failing to…

Robert Rex, Esq.
August 27, 2015

St. Tammany SALT Council to Hold “Money Smart for Older Adults Seminar” Sept. 9, 2015

St. Tammany SALT Council to Hold “Money Smart for Older Adults Seminar” Sept. 9, 2015 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 27, 2015 August 27, 2015

August 27, 2015- Slidell, Louisiana The St. Tammany SALT Council, the Council on Aging St. Tammany (COAST) and Gulf Coast Bank & Trust are holding a free seminar on Financial…

Robert Rex, Esq.
August 25, 2015

E1 Asset Management Sanctioned by Securities Regulators for Supervisory Deficiencies

E1 Asset Management Sanctioned by Securities Regulators for Supervisory Deficiencies 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 25, 2015 August 25, 2015

June 5 , 2015 E1 Asset Management , entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve numerous allegations related to supervision, including allegations…

Robert Rex, Esq.
August 22, 2015

Former Cambridge Investment Research Broker Sanctioned in Connection with FINRA Investigation of Conversion of Funds from Elderly Client

Former Cambridge Investment Research Broker Sanctioned in Connection with FINRA Investigation of Conversion of Funds from Elderly Client 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 22, 2015 August 22, 2015

August18, 2015, Glenn Allen Moffitt, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he refused to appear for…

Robert Rex, Esq.
August 17, 2015

Signator Investors, Inc. Fined $450,000 for Supervisory Failures

Signator Investors, Inc. Fined $450,000 for Supervisory Failures 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 17, 2015 August 17, 2015

August 13, 2015 Signator Investors, Inc. and Gregory J. Mitchell, Agency Compliance Specialist for Signator’s Vienna, Virginia office, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry…

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