FINRA Archives

Robert Rex, Esq.
March 13, 2016

Grady R. Jones- Former Emerson Equity/WFG Investments Broker Investigation- Dallas, Texas

Grady R. Jones- Former Emerson Equity/WFG Investments Broker Investigation- Dallas, Texas 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 March 13, 2016 March 13, 2016

Lewisville, Texas Rex Securities Law is investigating Grady R. Jones, a broker who is currently unregistered but who was previously registered as follows: Emerson Equity …

Robert Rex, Esq.
March 13, 2016

Gary D. Moore- Former VSR Financial Broker- Investigation- Sarasota, Florida

Gary D. Moore- Former VSR Financial Broker- Investigation- Sarasota, Florida 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 March 13, 2016 October 4, 2023

Sarasota, Florida Rex Securities Law is investigating former VSR Financial Services broker Gary D. Moore in connection with the sale of limited partnerships, promissory notes and real estate securities during the time he was employed…

Robert Rex, Esq.
March 13, 2016

James R. Kennedy-Former VSR Financial Services Broker Discloses Customer Disputes- Eastland, Texas

James R. Kennedy-Former VSR Financial Services Broker Discloses Customer Disputes- Eastland, Texas 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 March 13, 2016 October 4, 2023

February 2017- Eastland, Texas Rex Securities Law is investigating former VSR Financial Services broker James Roy Kennedy of the Smart Money Group and Kennedy Financial Services in connection with the sale of unsuitable investments, including real…

Robert Rex, Esq.
March 11, 2016

RIdgewood Energy Fund Investors Paid $60,000 By Transamerica Financial

RIdgewood Energy Fund Investors Paid $60,000 By Transamerica Financial 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 March 11, 2016 March 11, 2016

December 30, 2015 The FInancial Industry Regulatory Authority (FINRA) reports that clients of Transamerica Financial Advisors broker Bruce A. Slater filed an arbitration (Case 1H-03503) alleging that an investment in Ridgewood…

Robert Rex, Esq.
March 10, 2016

Neeraj Chaudhary- Former Euro Pacific Capital Broker Investigated

Neeraj Chaudhary- Former Euro Pacific Capital Broker Investigated 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 March 10, 2016 March 10, 2016

March 10, 2016 Rex Securities Law is investigating former Euro Pacific Capital, Inc. broker Neeraj R. Chaudhary on behalf of a former customer who alleges that he was sold investments,…

Robert Rex, Esq.
March 10, 2016

Delray Beach, FL. Man Pleads Guilty to Insider Trading on Tip From Stockbroker

Delray Beach, FL. Man Pleads Guilty to Insider Trading on Tip From Stockbroker 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 March 10, 2016 March 10, 2016

March 9, 2016- Jay Fung, 42, of Delray Beach, FL, pleaded guilty to an information which charged him with conspiracy to commit securities fraud . Fung admitted to an insider…

Robert Rex, Esq.
March 9, 2016

Claus Foerster-Former Smith Barney/Raymond James Broker Indicted for Fraud

Claus Foerster-Former Smith Barney/Raymond James Broker Indicted for 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 March 9, 2016 September 29, 2023

March 8, 2016- Greenville, South Carolina The United States Attorney’s Office for District of South Carolina announced that Claus C. Foerster, 55, of Spartanburg, South Carolina was indicted by a…

Robert Rex, Esq.
March 8, 2016

Matthew Bell-Former WFG Investments Broker- Discloses 46 Customer Complaints-Pleads Guilty on Fraud Charges-San Antonio, TX

Matthew Bell-Former WFG Investments Broker- Discloses 46 Customer Complaints-Pleads Guilty on Fraud Charges-San Antonio, TX 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 March 8, 2016 March 8, 2016

UPDATE MAY 2017 March 8, 2015- San Antonio, Texas The Financial Industry Regulatory Authority (FINRA) reports that Matthew A. Bell , 47 of Boerne, TX, a broker who formerly worked…

Robert Rex, Esq.
March 8, 2016

Summit Brokerage Services (Boca Raton) Fined $250,000 by Regulators- ETF Sales

Summit Brokerage Services (Boca Raton) Fined $250,000 by Regulators- ETF Sales 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 March 8, 2016 March 8, 2016

December 2, 2015- Boca Raton, FL Summit Brokerage Services entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between June…

Robert Rex, Esq.
March 8, 2016

G.A. Repple Broker Named in Customer Arbitration RE: Church Bond Losses- Casselberry, FLA

G.A. Repple Broker Named in Customer Arbitration RE: Church Bond Losses- Casselberry, FLA 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 March 8, 2016 March 8, 2016

The Financial Industry Regulatory Authority (FINRA) reports that G.A. Repple & Company broker Frederick P. Bremer has been named in an arbitration filed by a client who is seeking damages…

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