• Robert Rex, Esq.

Michael Christians-Former Morgan Stanley Broker-Discloses Regulatory Investigation-Plano, TX
Michael Christians-Former Morgan Stanley Broker-Discloses Regulatory Investigation-Plano, TX 150 150 Robert Rex, Esq.

June 2018- Plano, TX The FINRA records of Michael S. Christians  , a stock broker who is not currently registered and who was last employed by Morgan Stanley , disclose a currently pending regulatory event,…

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  • Robert Rex, Esq.

Brian Decker-Former Worden Capital Mgmt Broker-Arrested for Securities Fraud-Staten Island
Brian Decker-Former Worden Capital Mgmt Broker-Arrested for Securities Fraud-Staten Island 150 150 Robert Rex, Esq.

November 2019 UPDATE -Staten Island In 95/2018 Decker was permanently barred from the industry by FINRA to resolve allegations that he failed to cooperate with a FINRA investigation. The Toledo…

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  • Robert Rex, Esq.

Wayne I. Miller-Former Accelerated Capital Group Broker-Discloses Numerous Customer Suits-Scottsdale, AZ
Wayne I. Miller-Former Accelerated Capital Group Broker-Discloses Numerous Customer Suits-Scottsdale, AZ 150 150 Robert Rex, Esq.

May 2018-Scottsdale, AZ The FINRA records of  Wayne I. Miller ,  a  stockbroker who formerly worked for Accelerated Capital Group disclose a pending regulatory suspension, a pending customer dispute and 2 prior customer…

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  • Robert Rex, Esq.

Hector May-Former Securities America Broker-Investigation Over Missing Client Funds-New City, NY
Hector May-Former Securities America Broker-Investigation Over Missing Client Funds-New City, NY 150 150 Robert Rex, Esq.

May 2018-New City, New York Local press is reporting that Rockland/Orange County businessman and former Securities America stockbroker Hector May is being investigated by federal prosecutors on allegations of stealing…

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  • Robert Rex, Esq.

Charles Lawrence-Former R.F. Lafferty Broker-Barred From Industry For Exploitation of Elderly Customer- Palm Harbor, FL
Charles Lawrence-Former R.F. Lafferty Broker-Barred From Industry For Exploitation of Elderly Customer- Palm Harbor, FL 150 150 Robert Rex, Esq.

January 2020 -Palm Harbor, Florida The FINRA records of  Charles Joseph Lawrence,  a  former stockbroker who was last employed by  R. F. Lafferty & Co.  disclose a final regulatory matter resulting…

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  • Robert Rex, Esq.

Charlotte Guin-Former J.P. Morgan Securities Broker-Subject of $10M+ Lawsuit-Huffman, Texas
Charlotte Guin-Former J.P. Morgan Securities Broker-Subject of $10M+ Lawsuit-Huffman, Texas 150 150 Robert Rex, Esq.

May 2018- Huffman, Texas  According to FINRA records, Charlotte A. Guin,  a  former stockbroker who was last  employed by J.P. Morgan Securities , disclose  a prior regulatory event a termination from employment…

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  • Robert Rex, Esq.

Windsor Street Capital (f/k/a Meyers Associates) Has Numerous Regulatory Events
Windsor Street Capital (f/k/a Meyers Associates) Has Numerous Regulatory Events 150 150 Robert Rex, Esq.

May 2018 —According to FINRA records,  stock brokerage firm Windsor Street Capital LP (formerly known as Meyers Associates),  discloses 3 pending regulatory events, 20 regulatory events that are final and 12 final arbitrations. The…

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  • Robert Rex, Esq.

LPL Financial to Pay $26M to Resolve Regulatory Investigation
LPL Financial to Pay $26M to Resolve Regulatory Investigation 150 150 Robert Rex, Esq.

May 2018 The North American Securities Administrators Association (NASAA) announced that a settlement has been reached between state securities regulators and LPL Finanical requiring LPL Finanical to repurchase from investors…

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  • Robert Rex, Esq.

How to Recover Losses on Reef Oil and Gas Fund Investments
How to Recover Losses on Reef Oil and Gas Fund Investments 150 150 Robert Rex, Esq.

April 2018-Richardson, TX Reef Securities Inc. and its owner and president Frank Mauceli were sanctioned by FINRA on April 11, 2018, for failing to timely notify investors in an Oil…

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  • Robert Rex, Esq.

Losses on an Investment in The Parking REIT ?
Losses on an Investment in The Parking REIT ? 150 150 Robert Rex, Esq.

March 2018 The Parking REIT, Inc. , a Maryland real estate investment trust announced suspension of cash distributions and stock dividends on March 23, 2018. According to a press release…

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