• Robert Rex, Esq.

Daniel Lerner, David Lerner’s Son- Subject of Regulatory Action Over Energy 11/Energy 12/ Spirit of America Energy Funds
Daniel Lerner, David Lerner’s Son- Subject of Regulatory Action Over Energy 11/Energy 12/ Spirit of America Energy Funds 150 150 Robert Rex, Esq.

Daniel Lerner  Energy 11, Energy Resources 12, Spirit of America Energy Fund   Investigation September 2022-Lawrenceville, NJ The FINRA records of  Daniel Lerner,  son of David Lerner and a broker with…

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  • Robert Rex, Esq.

SEC Files Action vs. FL and TN Oil and Gas Deal Scammers
SEC Files Action vs. FL and TN Oil and Gas Deal Scammers 150 150 Robert Rex, Esq.

August 2017-Ft. Lauderdale, FL/ Gallatin, TN The Securities and Exchange Commission charged two men from Tennessee and a man from Florida with allegedly defrauding investors by false promises of high…

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  • Robert Rex, Esq.

FRANKLIN REYNOLDS -FORMER G.A. REPPLE BROKER- DISCLOSES SETTLEMENT OF CUSTOMER DISPUTE – DAYTONA BEACH, FL
FRANKLIN REYNOLDS -FORMER G.A. REPPLE BROKER- DISCLOSES SETTLEMENT OF CUSTOMER DISPUTE – DAYTONA BEACH, FL 150 150 Robert Rex, Esq.

April 2017- Daytona Beach, FL The FINRA records of  Franklin Reynolds, (CRD #1366983) a  stockbroker who is currently registered with The Strategic Financial Alliance disclose a customer dispute that was settled. The Financial Industry…

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  • Robert Rex, Esq.

Losses On Servergy, Inc ? – Recovery Options for Investors
Losses On Servergy, Inc ? – Recovery Options for Investors 150 150 Robert Rex, Esq.

April 12, 2016-Fort Worth, Texas The Securities and Exchange Commission (SEC) filed fraud charges against McKinney, TX based Servergy, Inc. , William E. Mapp III, Caleb J. White and Texas attorney general…

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  • Robert Rex, Esq.

Update on Recovery of Reef Oil & Gas Investment Losses
Update on Recovery of Reef Oil & Gas Investment Losses 150 150 Robert Rex, Esq.

Reef Oil and Gas of Richardson, Texas, has been sponsoring energy related investments for many years.   These investments are marketed by many different brokerage firms nationwide. Investors who have suffered…

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  • Robert Rex, Esq.

Ohio Division of Securities Issues 2015 Third Quarter Bulletin-Civil & Criminal Securities Actions
Ohio Division of Securities Issues 2015 Third Quarter Bulletin-Civil & Criminal Securities Actions 150 150 Robert Rex, Esq.

July 6, 2015- Columbus, Ohio The Ohio Division of Securities publishes a Securities Bulletin quarterly summarizing recent changes to securities rules and laws in the State of Ohio, reporting on…

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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.

South Carolina Regulators Seek to Take Securities License of Mark Hotton
South Carolina Regulators Seek to Take Securities License of Mark Hotton 150 150 Robert Rex, Esq.

June 23, 2015- Columbia, South Carolina The Securities Commissioner for South Carolina filed a Rule to Show Cause seeking to permanently ban Mark Christopher Hotton from the securities industry. In 2013…

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  • Robert Rex, Esq.

Otis Bradley-Former Gilford Securities Broker Barred From Securities Industry
Otis Bradley-Former Gilford Securities Broker Barred From Securities Industry 150 150 Robert Rex, Esq.

UPDATE-In October 2015, Otis Bradley was permanently barred from the securities industry by FINRA. Original Post–April 27, 2015 Otis T. Bradley, was named in a complaint filed by FINRA alleging…

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