• Robert Rex, Esq.

Joseph Charles Schroeder-Wunderlich Securities Broker- Sanctioned by Regulator
Joseph Charles Schroeder-Wunderlich Securities Broker- Sanctioned by Regulator 150 150 Robert Rex, Esq.

July 10, 2015- Dallas, Texas Joseph Charles Schroeder ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he violated NASD…

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  • Robert Rex, Esq.

Hector Perez a/k/a Bruce Johnson Barred From Securities Industry
Hector Perez a/k/a Bruce Johnson Barred From Securities Industry 150 150 Robert Rex, Esq.

July 1, 2015 Hector Perez , a/k/a Bruce Johnson ,  entered into a settlement with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between December 2009 and February 2011, he…

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  • Robert Rex, Esq.

Jose Palacio-Former H.D. Vest Broker-Sanctioned by Regulator-Bradenton,FL
Jose Palacio-Former H.D. Vest Broker-Sanctioned by Regulator-Bradenton,FL 150 150 Robert Rex, Esq.

July 10,  2015- Bradenton, Florida Jose Luis Palacio ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he willfully failed to timely…

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  • Robert Rex, Esq.

Dylan Grayson- Merrill Lynch Broker in Plano Texas-Barred from Securities Industry
Dylan Grayson- Merrill Lynch Broker in Plano Texas-Barred from Securities Industry 150 150 Robert Rex, Esq.

July 9 , 2015- Plano, Texas Dylan Patrick Grayson ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to provide…

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  • Robert Rex, Esq.

Brian Berger Facing Wire Fraud Charges-Coral Springs, FL
Brian Berger Facing Wire Fraud Charges-Coral Springs, FL 150 150 Robert Rex, Esq.

April 2018 UPDATE-Berger pleads guilty. See this for details. UPDATE October 2016-BRIAN BERGER FACES WIRE FRAUD CHARGES. The Sun Sentinel reports that Brian M. Berger, 39, of Coral Springs, pleaded…

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  • Robert Rex, Esq.

Lantana Florida Broker Sanctioned by Securities Regulator
Lantana Florida Broker Sanctioned by Securities Regulator 150 150 Robert Rex, Esq.

July 13, 2015- Lantana, Florida Ingrid M. Batchelor ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she  engaged…

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  • Robert Rex, Esq.

Malcolm J. Babin-Former PFS Investments Broker – Barred by Securities Regulators
Malcolm J. Babin-Former PFS Investments Broker – Barred by Securities Regulators 150 150 Robert Rex, Esq.

July 30, 2015-Baton Rouge, LA According to FINRA records, Malcolm Jamil Babin ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve…

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  • Robert Rex, Esq.

Kuhns Brothers Securities Broker Sanctioned by FINRA
Kuhns Brothers Securities Broker Sanctioned by FINRA 150 150 Robert Rex, Esq.

July 15, 2015- Jeffrey Howard Auerbach ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he violated NASD Rule 3040…

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  • Robert Rex, Esq.

Transamerica Financial Advisors Sanctioned by Securities Regulators
Transamerica Financial Advisors Sanctioned by Securities Regulators 150 150 Robert Rex, Esq.

July 24, 2015- St. Petersburg, Florida Transamerica Financial Advisors (Transamerica)  ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from…

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  • Robert Rex, Esq.

Austin Based NFP Advisor Services Fined $500K by Securities Regulators
Austin Based NFP Advisor Services Fined $500K by Securities Regulators 150 150 Robert Rex, Esq.

July 16, 2015- Dallas Texas NFP Advisor Services ( formerly NFP Securities, Inc.)  ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to…

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