• Robert Rex, Esq.

Corpus Christi Financial Advisor Indicted for Fraud in Connection with Sale of Investment Contracts
Corpus Christi Financial Advisor Indicted for Fraud in Connection with Sale of Investment Contracts 150 150 Robert Rex, Esq.

June 16, 2015-Austin, Texas Kenneth Wayne Graves, a former investment adviser from Corpus Christi has been indicted in Nueces County on fraud and other charges related to the sale of…

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  • Robert Rex, Esq.

Former FSC Securities Broker In Grapevine, TX, Barred From Securities Industry
Former FSC Securities Broker In Grapevine, TX, Barred From Securities Industry 150 150 Robert Rex, Esq.

April 10, 2015-Grapevine, Texas  James E. Scott , entered into an Order Accepting Offer of Settlement (Order) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he aided and abetted…

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  • Robert Rex, Esq.

Cadaret Grant Broker Suspended/Fined by Regulators for Over-concentration of REIT Investments
Cadaret Grant Broker Suspended/Fined by Regulators for Over-concentration of REIT Investments 150 150 Robert Rex, Esq.

April 9, 2015-Point Pleasant, NJ Douglas William Finlay, Jr.  , entered into a  Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that effected…

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  • Robert Rex, Esq.

Phil Williamson Charged in South Florida Securities Fraud
Phil Williamson Charged in South Florida Securities Fraud 150 150 Robert Rex, Esq.

June 1, 2015 Phil D. Williamson, 48, of Miami, Florida, was charged with investment advisor fraud according to an FBI Press Release which reports that he raised over two million…

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  • Robert Rex, Esq.

Frank Dettenrieder, Former First Allied Securities Broker-San Miguel de Allende, Investigated by Rex Securities Law
Frank Dettenrieder, Former First Allied Securities Broker-San Miguel de Allende, Investigated by Rex Securities Law 150 150 Robert Rex, Esq.

June 1, 2015-San Miguel de Allende, Mexico  Rex Securities Law is investigating Frank Nicholas Dettenrieder who was formerly a stock broker with First Allied Securities from December 2008 until July 2013 when…

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  • Robert Rex, Esq.

Former PrimeSolutions Securities Broker Named in Suit By SEC
Former PrimeSolutions Securities Broker Named in Suit By SEC 150 150 Robert Rex, Esq.

Richfield, Ohio-April 15, 2015 Jerry A. Cicolani, 51, was charged in a criminal information with selling unregistered securities in KGTA Petroleum, Ltd., causing dozens of investors to lose over $7…

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  • Robert Rex, Esq.

Florida Stockbroker Lost While Fishing at Sea Staged Disappearance
Florida Stockbroker Lost While Fishing at Sea Staged Disappearance 150 150 Robert Rex, Esq.

April 13, 2015- Boca Raton, FL The Sun Sentinel reports that Richard Ohrn, 44, a former local stock broker who disappeared while fishing in the Atlantic ocean a few weeks back, has…

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  • Robert Rex, Esq.

Boca Raton Boiler Room Targeting Elderly Citizens Shut Down By Securities Regulator
Boca Raton Boiler Room Targeting Elderly Citizens Shut Down By Securities Regulator 150 150 Robert Rex, Esq.

April 9, 2015-Boca Raton, FL The Securities and Exchange Commission (SEC) announced the filing of fraud charges against the operators of a microcap/boiler room scheme in South Florida. Three of…

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  • Robert Rex, Esq.

David Harari-San Antonio Stock Broker Sanctioned by Regulator
David Harari-San Antonio Stock Broker Sanctioned by Regulator 150 150 Robert Rex, Esq.

March 9, 2015- San Antonio, Texas  The National Adjudicatory Council of the Financial Industry Regulatory Authority (FINRA) issued a decision in Complaint No. 20111025899601 , affirming and modifying sanctions against David Harari…

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