• Robert Rex, Esq.

Stephens Inc. Sanctioned by Securities Regulators for Mutual Fund Sales Charge Abuse
Stephens Inc. Sanctioned by Securities Regulators for Mutual Fund Sales Charge Abuse 150 150 Robert Rex, Esq.

October 27, 2015 Stephens, Inc.  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that since June 1, 2009, Stephens disadvantaged certain…

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  • Robert Rex, Esq.

GMS Group Sanctioned by Regulators For Failure to Supervise Sale of ETFs
GMS Group Sanctioned by Regulators For Failure to Supervise Sale of ETFs 150 150 Robert Rex, Esq.

October 21, 2015 GMS Group, LLC and Carmine Capone, a general securities sales supervisor employed by GMS Group , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial…

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  • Robert Rex, Esq.

Jason Figueroa-Former GMS Group Broker Discloses $750K Damage Claim-Boca Raton, FL
Jason Figueroa-Former GMS Group Broker Discloses $750K Damage Claim-Boca Raton, FL 150 150 Robert Rex, Esq.

UPDATE APRIL 2017-BOCA RATON, FL–The FINRA records of Jason L. Figueroa disclose that in pending FINRA arbitration case #15-03075 a customer of GMS Group alleges damages of $750,000 for unsuitable…

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  • Robert Rex, Esq.

Fischer, Texas- Caldwell International Securities Named in Complaint by Securities Regulator
Fischer, Texas- Caldwell International Securities Named in Complaint by Securities Regulator 150 150 Robert Rex, Esq.

December 31, 2015- Fischer, Texas On December 31, 2015, the Financial Industry Regulatory Authority  (FINRA) filed a complaint against Caldwell International Securities alleging that firm founder Greg Caldwell and supervisors Paul Jacobs…

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  • Robert Rex, Esq.

Betsy Marcom-NEXT Financial Group Broker Fined/Suspended for Unsuitable Recommendation to Church-Georgetown, TX
Betsy Marcom-NEXT Financial Group Broker Fined/Suspended for Unsuitable Recommendation to Church-Georgetown, TX 150 150 Robert Rex, Esq.

November 19, 2015-Georgetown, Texas Betsy Marcom (formerly Betsy Bratton Perryman) , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between…

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  • Robert Rex, Esq.

Certified Financial Planning Board Censures Brokers in Houston and Austin
Certified Financial Planning Board Censures Brokers in Houston and Austin 150 150 Robert Rex, Esq.

December 29, 2015 The Certified Financial Planning Board recently sanctioned two Texas individuals: Richard Blair, Bee Cave, TX In July 2015, CFP Board’s Disciplinary and Ethics Commission (Commission) issued an…

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  • Robert Rex, Esq.

Fidelity Ordered to Pay $500,000 Fine For Failing to Failing to Identify “Red Flags” Associated with Broker Theft
Fidelity Ordered to Pay $500,000 Fine For Failing to Failing to Identify “Red Flags” Associated with Broker Theft 150 150 Robert Rex, Esq.

December 18, 2015- Fidelity Brokerage Services , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between August 2006 and…

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  • Robert Rex, Esq.

Morgan Stanley/Broker Ordered to Pay 92 year old Widow $1 Million for Churning Account
Morgan Stanley/Broker Ordered to Pay 92 year old Widow $1 Million for Churning Account 150 150 Robert Rex, Esq.

December 8, 2015-Boston, MA A FINRA arbitration panel ordered Morgan Stanley and broker Justin Amaral to pay  a 92 year old widow over $1 million for churning her account. The victim…

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  • Robert Rex, Esq.

Zachary Bader-Former Craig Scott Capital Broker Barred From Industry for Churning Customer Account
Zachary Bader-Former Craig Scott Capital Broker Barred From Industry for Churning Customer Account 150 150 Robert Rex, Esq.

November 13, 2015-Melville NY Rex Securities Law is investigating options for recovery for investors who suffered damages in brokerage accounts handled by Zachary T. Bader. Zachary Bader , entered into a Letter…

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  • Robert Rex, Esq.

Dennis Van Patter Investigation -First Financial Services Group-Plano,TX
Dennis Van Patter Investigation -First Financial Services Group-Plano,TX 150 150 Robert Rex, Esq.

November 20, 2015-Plano, Texas Dennis Van Patter , a broker with VSR FInancial Services operates his financial service business through First Financial Services Group in Plano, Texas. Van Patter recently entered into a…

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