• Robert Rex, Esq.

Ft. Lauderdale Man Charged with Defrauding Retiree of Retirement Savings
Ft. Lauderdale Man Charged with Defrauding Retiree of Retirement Savings 150 150 Robert Rex, Esq.

November 2019- Ft. Lauderdale, FL According to a recent press release from the United States Attorney’s Office for the Southern District of Florida, Michael Jerome Atkins, 60, was arraigned on…

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  • Robert Rex, Esq.

Herbert “Elias” Hafen-Former Morgan Stanley Broker-Pleads Guilty to Fraud- New York, NY
Herbert “Elias” Hafen-Former Morgan Stanley Broker-Pleads Guilty to Fraud- New York, NY 150 150 Robert Rex, Esq.

November  2019- New York, NY The FINRA records of  Herbert “Elias” Hafen ,  a  financial advisor previously employed by  Morgan Stanley, disclose a prior regulatory event,  a pending criminal matter, a…

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  • Robert Rex, Esq.

Texas Regulators Revoke Gus Marwieh’s Securities Registration-Austin, TX
Texas Regulators Revoke Gus Marwieh’s Securities Registration-Austin, TX 150 150 Robert Rex, Esq.

October 2019 – Austin, Texas  Texas Securities Commissioner, Travis Iles, revoked the registration of  Gus Marwieh  for fraud related to the sale of pension investments, according to a news release…

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  • Robert Rex, Esq.

Michael Giokas-Former Fortune Financial Services-Broker-Pleads Guilty to Fraud-Williamsville, NY
Michael Giokas-Former Fortune Financial Services-Broker-Pleads Guilty to Fraud-Williamsville, NY 150 150 Robert Rex, Esq.

September 2019- Williamsville, NY According to publicly available records  Michael Giokas (CRD# 1398674) ,  a  former stockbroker who was last  employed by Fortune Financial Services, Inc.,  disclose  2 prior regulatory events, a…

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  • Robert Rex, Esq.

Michael Bressman-Former FCG Advisors Broker- Pleads Guilty to Investment Advisor Fraud-Chatham, NJ
Michael Bressman-Former FCG Advisors Broker- Pleads Guilty to Investment Advisor Fraud-Chatham, NJ 150 150 Robert Rex, Esq.

September 2019- Chatham, NJ According to publicly available records  Michael Bressman ,  a  currently unregistered stockbroker, who was last registered with FCG Advisors,  discloses a pending investigation, a pending civil event,…

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  • Robert Rex, Esq.

Cetera Advisors Charged With Defrauding Retail Clients
Cetera Advisors Charged With Defrauding Retail Clients 150 150 Robert Rex, Esq.

September 2019 Cetera Advisors, a registered investment advisor and broker-dealer based in Denver, Colorado, was charged by the Securities and Exchange Commission (SEC) with breaching its fiduciary duty and defrauding…

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  • Robert Rex, Esq.

Cardinal Energy Group Investors May Have Been Misled & Have Claims for Recovery
Cardinal Energy Group Investors May Have Been Misled & Have Claims for Recovery 150 150 Robert Rex, Esq.

May 2019 – Dallas, Texas In March 2019, the Securities and Exchange Commission charged Texas based Cardinal Energy Group (CEGX) and former CEO Timothy W. Crawford with fraudulently concealing the…

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  • Robert Rex, Esq.

Spartan Securities Group Named in SEC Regulatory Action Over Penny Stocks-Clearwater, FL
Spartan Securities Group Named in SEC Regulatory Action Over Penny Stocks-Clearwater, FL 150 150 Robert Rex, Esq.

February 2019-Tampa, FL The U.S. Securities & Exchange Commission (SEC) issued a litigation release on 2/21/2019 charging Spartan Securities Group, Ltd. , Island Capital Management, LLC, Carl E. Dilley, Micah…

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  • Robert Rex, Esq.

Jared Rice, Sr. Indicted on Cryptocurrency Fraud-Fort Worth, Texas
Jared Rice, Sr. Indicted on Cryptocurrency Fraud-Fort Worth, Texas 150 150 Robert Rex, Esq.

November 2018-Fort Worth, Texas The U.S. Attorney’s Office for the Northern District of Texas announced the arrest of Jared Rice, Sr. who is charged with defrauding hundreds of investors out…

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