• Robert Rex, Esq.

Christopher Veale–Former Legend Securities Broker Sanctioned by Regulator
Christopher Veale–Former Legend Securities Broker Sanctioned by Regulator 150 150 Robert Rex, Esq.

UPDATE March 28, 2016- Christopher Veale‘s FINRA record reports 11 prior customer complaints that have been resolved and one pending dispute. See this for more.  August18, 2015, Christopher Frederic Veale ,…

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  • Robert Rex, Esq.

Mark B. Quimby-Former Allstate Financial Services Broker-Sanctioned by Securities Regulator-Tampa, FL
Mark B. Quimby-Former Allstate Financial Services Broker-Sanctioned by Securities Regulator-Tampa, FL 150 150 Robert Rex, Esq.

August18, 2015, Mark Brian Quimby,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he caused two customers to…

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  • Robert Rex, Esq.

JMP Securities Fined $125,000 Over Failure to Disclose Conflict of Interest
JMP Securities Fined $125,000 Over Failure to Disclose Conflict of Interest 150 150 Robert Rex, Esq.

August 17, 2015, JMP Securities LLC,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from January 2010 through…

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  • Robert Rex, Esq.

William Blair & Company Fined $350,000 Over Failure to Disclose Conflict of Interest
William Blair & Company Fined $350,000 Over Failure to Disclose Conflict of Interest 150 150 Robert Rex, Esq.

August 17, 2015, William Blair & Company,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from January 2010…

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  • Robert Rex, Esq.

Farmers Financial Solutions Broker Sanctioned for Back Dating Insurance Policy
Farmers Financial Solutions Broker Sanctioned for Back Dating Insurance Policy 150 150 Robert Rex, Esq.

August 7, 2015, Kevin C. Trost,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he backdated an insurance…

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  • Robert Rex, Esq.

Dallas Based VCA Securities Sanctioned by Regulators Over Cyber Security Breach
Dallas Based VCA Securities Sanctioned by Regulators Over Cyber Security Breach 150 150 Robert Rex, Esq.

August 12, 2015 VCA Securities LP,   (formerly Bluffview Securities) entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that…

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  • Robert Rex, Esq.

Signator Investors, Inc. Fined $450,000 for Supervisory Failures
Signator Investors, Inc. Fined $450,000 for Supervisory Failures 150 150 Robert Rex, Esq.

August 13, 2015 Signator Investors, Inc. and Gregory J. Mitchell, Agency Compliance Specialist for Signator’s Vienna, Virginia office,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry…

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  • Robert Rex, Esq.

FSC Securities Hit with $1.28M Award For Aubrey Lee Price Ponzi Scheme
FSC Securities Hit with $1.28M Award For Aubrey Lee Price Ponzi Scheme 150 150 Robert Rex, Esq.

August 11, 2015 -Atlanta, Georgia An arbitration panel of the Financial Industry Regulatory Authority (FINRA) awarded $1.28 million to a group of individuals who were victims of a ponzi scheme…

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  • Robert Rex, Esq.

Robert W. Baird Broker Barred from Industry for Misrepresenting Account Value to Customer
Robert W. Baird Broker Barred from Industry for Misrepresenting Account Value to Customer 150 150 Robert Rex, Esq.

August 4, 2015 Patrick Landon Garrett, of Franklin, TN ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he verbally…

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  • Robert Rex, Esq.

StockBroker Sanctioned for Mutual Fund Churning
StockBroker Sanctioned for Mutual Fund Churning 150 150 Robert Rex, Esq.

August 4,2015 Ronald J. Benevento of Holbrook, NY,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he engaged in…

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