• Robert Rex, Esq.

Brian K. Decker Investigation-Legend Securities Broker
Brian K. Decker Investigation-Legend Securities Broker 150 150 Robert Rex, Esq.

See this for MAY 2018 UPDATE. Brian Decker barred from securities industry by regulators.  ORIGINAL POST MARCH 2016 FINRA records report that Brian K. Decker, who has been registered with…

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  • Robert Rex, Esq.

Jason Harris Klabal Investigation-Legend Securities Broker
Jason Harris Klabal Investigation-Legend Securities Broker 150 150 Robert Rex, Esq.

FINRA records report that Jason Harris Klabal, who has been registered with Legend Securities since 8/2011, is named in a currently pending arbitration  (FINRA Case 15-484) by a customer who…

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  • Robert Rex, Esq.

Legend Securities Ordered to Pay Customer $61K by FINRA Arbitrators
Legend Securities Ordered to Pay Customer $61K by FINRA Arbitrators 150 150 Robert Rex, Esq.

July 2015 Legend Securities was ordered to pay over $61,000 to the estate of a former client by a Financial Industry Regulatory Authority (FINRA) arbitration panel. FINRA Case 14-1705. Estate…

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  • Robert Rex, Esq.

Losses on GTAT ? Recovery Options For Investors
Losses on GTAT ? Recovery Options For Investors 150 150 Robert Rex, Esq.

If you suffered losses on GT Advanced Technologies (GTAT) purchased from Legend Securities we may able to help you recover damages through FINRA arbitration. GT Advanced Technologies which traded at nearly…

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  • Robert Rex, Esq.

Legend Securities Fined $125,000 Over Penny Stock Sales
Legend Securities Fined $125,000 Over Penny Stock Sales 150 150 Robert Rex, Esq.

February 10, 2016 Legend Securities entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from October 2010 to…

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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.

Morissa Rivo-Signator Investors Broker- Barred From Securities Industry-Boca Raton
Morissa Rivo-Signator Investors Broker- Barred From Securities Industry-Boca Raton 150 150 Robert Rex, Esq.

January 15, 2016-Boca Raton, FL Morissa F. Rivo, formerly a broker with Signator Investors,   entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA)…

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  • Robert Rex, Esq.

Morgan Stanley & Brokers Hit With $34M Arbitration Award-Tampa,FL
Morgan Stanley & Brokers Hit With $34M Arbitration Award-Tampa,FL 150 150 Robert Rex, Esq.

March 22, 2016- Tampa, FL A Financial Industry Regulatory Authority arbitration panel ordered Morgan Stanley and two of its broker to pay $34 million to the estate of Roy M.…

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  • Robert Rex, Esq.

Citadel Securities-Numerous Recent Regulatory Sanctions
Citadel Securities-Numerous Recent Regulatory Sanctions 150 150 Robert Rex, Esq.

March 2016 According to FINRA records, Citadel Securities has a number of regulatory sanctions over the recent years, including the following: October 2015 FINRA Sanction- The firm used a trading logic that…

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