• Robert Rex, Esq.

Morgan Stanley Smith Barney Fined $650K for Theft by New Jersey/Fort Lauderdale Brokers
Morgan Stanley Smith Barney Fined $650K for Theft by New Jersey/Fort Lauderdale Brokers 150 150 Robert Rex, Esq.

June 19, 2015 Morgan Stanley Smith Barney  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between June 2009-November…

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  • Robert Rex, Esq.

Shaun Paul Golden-Former NEXT Financial Group Broker Sanctioned by Regulators
Shaun Paul Golden-Former NEXT Financial Group Broker Sanctioned by Regulators 150 150 Robert Rex, Esq.

UPDATE FEBRUARY 2017-RIverhead, New York In February 2017 the Florida Office of Financial Regulation entered a Final Order against Shaun Paul Golden permanently barring him from applying for registration.  Case#…

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  • Robert Rex, Esq.

Former Trident Partners Broker William Quigley Investigation
Former Trident Partners Broker William Quigley Investigation 150 150 Robert Rex, Esq.

May 28,2015 Rex Securities Law is investigating former Trident Partners, Ltd. broker William Michael Quigley. The Securities & Exchange Commission filed an administrative proceeding (File No. 3-16560) against William Michael…

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  • Robert Rex, Esq.

Former Moors & Cabot Broker Sanctioned Over Unauthorized Annuity Advertisements
Former Moors & Cabot Broker Sanctioned Over Unauthorized Annuity Advertisements 150 150 Robert Rex, Esq.

June 18, 2015-Boston, MA Lucian D. Hodgman  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between May and July…

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  • Robert Rex, Esq.

Ausdal Financial Partners Hit With $1.2M Arbitration Award on Variable Annuity
Ausdal Financial Partners Hit With $1.2M Arbitration Award on Variable Annuity 150 150 Robert Rex, Esq.

June 8, 2015-Boston, MA An all public FINRA arbitration panel ordered Ausdal Financial Partners and broker Joan Norton to pay  a customer over $1.2 million on claims of negligence, unsuitability, breach…

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  • Robert Rex, Esq.

Newbridge Securities Fined by Regulators for Supervision Deficiencies
Newbridge Securities Fined by Regulators for Supervision Deficiencies 150 150 Robert Rex, Esq.

June 10, 2015 Newbridge Securities  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that the firm’s supervisory system did…

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  • Robert Rex, Esq.

Bolton Global Capital Sanctioned by Regulators – Failed to Deliver Prospectus on ETF Sales
Bolton Global Capital Sanctioned by Regulators – Failed to Deliver Prospectus on ETF Sales 150 150 Robert Rex, Esq.

June 9, 2015 Bolton Global Capital ,  entered into a Letter of Acceptance Waive and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  from at least May…

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  • Robert Rex, Esq.

Garden State Securities Discloses 21 Regulatory Events
Garden State Securities Discloses 21 Regulatory Events 150 150 Robert Rex, Esq.

Red Bank, NJ UPDATE June 2017-Garden State Securities reports 21 prior regulatory events on their FINRA records, including the following recent matter: 4/2017-Agreed to FINRA censure and a fine of…

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  • Robert Rex, Esq.

David James LeDoux-Boca Raton StockBroker Sanctioned For Failing to Report Tax Liens
David James LeDoux-Boca Raton StockBroker Sanctioned For Failing to Report Tax Liens 150 150 Robert Rex, Esq.

June 2, 2015-Boca Raton, FL David James LeDoux ,  entered into a Letter of Acceptance Waive and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  he failed…

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  • Robert Rex, Esq.

Corpus Christi Financial Advisor Indicted for Fraud in Connection with Sale of Investment Contracts
Corpus Christi Financial Advisor Indicted for Fraud in Connection with Sale of Investment Contracts 150 150 Robert Rex, Esq.

June 16, 2015-Austin, Texas Kenneth Wayne Graves, a former investment adviser from Corpus Christi has been indicted in Nueces County on fraud and other charges related to the sale of…

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