• Robert Rex, Esq.

Michael Donnelly Investigation-Coastal Equities Broker Admits Theft From Elderly Clients
Michael Donnelly Investigation-Coastal Equities Broker Admits Theft From Elderly Clients 150 150 Robert Rex, Esq.

October 19, 2015 Former Coastal Equities broker Michael Donnelly of Lecanto, Florida, admitting defrauding his clients and to disgorge over $2.2 million. In addition he consented to an SEC order…

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  • Robert Rex, Esq.

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 150 150 Robert Rex, Esq.

 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…

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  • Robert Rex, Esq.

Thomas Schober- Former SII Investments Stockbroker-Sued by Customer Over Annuity Investments
Thomas Schober- Former SII Investments Stockbroker-Sued by Customer Over Annuity Investments 150 150 Robert Rex, Esq.

UPDATE MARCH 2017– Thomas Schober, formerly a broker with SII Investments discloses a pending customer dispute and two prior customer disputes that have been resolved. All of the disputes relate…

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  • Robert Rex, Esq.

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 150 150 Robert Rex, Esq.

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…

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  • Robert Rex, Esq.

Winston Turner-Former MetLife Broker – Barred from Securities Industry-Sarasota, FL
Winston Turner-Former MetLife Broker – Barred from Securities Industry-Sarasota, FL 150 150 Robert Rex, Esq.

UPDATE AUGUST 2016–Winston Turner was permanently barred from the securities industry. According to FINRA records Turner refused to produce significant categories of information requested by FINRA and failed to appear for…

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  • Robert Rex, Esq.

Anthony Diaz-Former IBN Financial Broker-Discloses 50 Customer Complaints
Anthony Diaz-Former IBN Financial Broker-Discloses 50 Customer Complaints 150 150 Robert Rex, Esq.

Scotrun, PA UPDATE January 2020– Anthony Diaz discloses a total of 50 customer complaints, 3 of which are still pending. UPDATE APRIL 2017-The New Jersey Bureau of Securities revoked Anthony…

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  • Robert Rex, Esq.

David McQueen’s Conviction/30 Year Sentence on Ponzi Scheme Upheld
David McQueen’s Conviction/30 Year Sentence on Ponzi Scheme Upheld 150 150 Robert Rex, Esq.

1/21/2016- Grand Rapids, MI David McQueen‘s  conviction and 30 year prison sentence for mail fraud, money laundering and tax charges was upheld by the Sixth Circuit Court of Appeals in Cincinnati.…

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  • Robert Rex, Esq.

United Development Funding Offices Raided by FBI- Grapevine, Texas
United Development Funding Offices Raided by FBI- Grapevine, Texas 150 150 Robert Rex, Esq.

February 19, 2016- Grapevine, Texas The FBI raided the offices of United Development Funding (UDF) yesterday causing the shares of its largest fund United Development Funding IV to fall over 50%,…

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  • Robert Rex, Esq.

John R. McKinstry Investigation-Former Moloney Securities Broker-St. Louis
John R. McKinstry Investigation-Former Moloney Securities Broker-St. Louis 150 150 Robert Rex, Esq.

1/21/2016-St. Louis, MO Rex Securities Law is investigating former Moloney Securities broker John R. McKinstry on behalf of an elderly retired couple. According to his FINRA brokercheck report, McKinstry was discharged…

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  • Robert Rex, Esq.

Unsuitable Mutual Fund Switching Leads to Fine/Suspension for Stuart, FL, Stock Broker
Unsuitable Mutual Fund Switching Leads to Fine/Suspension for Stuart, FL, Stock Broker 150 150 Robert Rex, Esq.

January 6, 2016- Stuart, Florida Jeffrey Davidson entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with American Portfolio…

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