• Robert Rex, Esq.

Former Aegis Capital Broker Malcolm Segal Sued by SEC on Ponzi Scheme
Former Aegis Capital Broker Malcolm Segal Sued by SEC on Ponzi Scheme 150 150 Robert Rex, Esq.

July 1, 2015-Langehorn, PA/ Boynton Beach, FL The Securities and Exchange Commission (SEC) filed a civil action against Malcolm Segal, 69, of Langhorne, Pennsylvania and Boynton Beach, FL, alleging that…

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  • Robert Rex, Esq.

FINRA Arbitrators Order BNP Paribas to Pay Customer over $16 Million
FINRA Arbitrators Order BNP Paribas to Pay Customer over $16 Million 150 150 Robert Rex, Esq.

June 23, 2015- New York A FINRA arbitration panel ordered BNP Paribas Securities Corp. to pay a former customer over $16 million dollars for the sale and marketing of an unsuitable…

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  • Robert Rex, Esq.

Former Thrivent Investment Management Broker Sanctioned for Falsifying Annuity Documents
Former Thrivent Investment Management Broker Sanctioned for Falsifying Annuity Documents 150 150 Robert Rex, Esq.

June 24, 2015 Bruce R. Geiger entered into an Order Accepting Offer of Settlement with the Financial Industry Regulatory Authority (FINRA) to resolve allegations by FINRA that he had violated…

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  • Robert Rex, Esq.

South Carolina Regulators Seek to Take Securities License of Mark Hotton
South Carolina Regulators Seek to Take Securities License of Mark Hotton 150 150 Robert Rex, Esq.

June 23, 2015- Columbia, South Carolina The Securities Commissioner for South Carolina filed a Rule to Show Cause seeking to permanently ban Mark Christopher Hotton from the securities industry. In 2013…

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  • Robert Rex, Esq.

Allstate Financial Services Broker Barred For Falsifying Insurance Applications
Allstate Financial Services Broker Barred For Falsifying Insurance Applications 150 150 Robert Rex, Esq.

June 23, 2015 Michael G. Seidel  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he  submitted falsified applications…

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  • Robert Rex, Esq.

SEC Issues Investor Alert: Five Red Flags of Investment Fraud
SEC Issues Investor Alert: Five Red Flags of Investment Fraud 150 150 Robert Rex, Esq.

June 15, 2015 The U.S. Securities and Exchange Commission Office of Investor Education issued an Investor Alert pointing out the Five Red Flags of Investment Fraud: Promises of High Returns…

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  • Robert Rex, Esq.

Former Wells Fargo Advisor Broker Sanctioned for Unauthorized Trading in Customer Account
Former Wells Fargo Advisor Broker Sanctioned for Unauthorized Trading in Customer Account 150 150 Robert Rex, Esq.

June 22, 2015 Tyler Powell  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he  exercised discretion in a…

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  • Robert Rex, Esq.

Dean Yurica-Former LPL Financial Broke- Fined/Suspended for Falsifying Customer Documents
Dean Yurica-Former LPL Financial Broke- Fined/Suspended for Falsifying Customer Documents 150 150 Robert Rex, Esq.

February 2019-Carmichael, CA Dean M. Yurica  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he  falsified documents related…

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  • Robert Rex, Esq.

Justin Amaral, Morgan Stanley Broker, Barred from Securities Industry
Justin Amaral, Morgan Stanley Broker, Barred from Securities Industry 150 150 Robert Rex, Esq.

June 19, 2015 Justin Amaral  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he refused to appear…

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  • Robert Rex, Esq.

Alluvion Securities Hit With Net Capital Violation Suit by Regulators
Alluvion Securities Hit With Net Capital Violation Suit by Regulators 150 150 Robert Rex, Esq.

June 19, 2015 FINRA Department of Enforcement filed  Disciplinary Proceeding No 2013035347704 against Alluvion Securities, LLC, Lowell S. Wilson and John S. Jumper alleging net capital violations, supervisory violations and…

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