• Robert Rex, Esq.

Reef Securities Broker Harris W. Kirk Investigation
Reef Securities Broker Harris W. Kirk Investigation 150 150 Robert Rex, Esq.

SEE THIS FOR February 2016 Update. November 25, 2015- Richardson, Texas  Rex Securities Law is investigating Harris Wayne Kirk ,  a stock broker who on October 1, 2015,  rejoined  Reef Securities, Inc. According to FINRA records,…

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  • Robert Rex, Esq.

Update on Recovery of Reef Oil & Gas Investment Losses
Update on Recovery of Reef Oil & Gas Investment Losses 150 150 Robert Rex, Esq.

Reef Oil and Gas of Richardson, Texas, has been sponsoring energy related investments for many years.   These investments are marketed by many different brokerage firms nationwide. Investors who have suffered…

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  • Robert Rex, Esq.

H. Beck Sanctioned for Failure to Perform Due Diligence In Connection With Sale of Private Placements
H. Beck Sanctioned for Failure to Perform Due Diligence In Connection With Sale of Private Placements 150 150 Robert Rex, Esq.

October 26, 2015- Bethesda, Maryland H. Beck, Inc.  ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between May 2008 and…

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  • Robert Rex, Esq.

Hector Perez a/k/a Bruce Johnson Barred From Securities Industry
Hector Perez a/k/a Bruce Johnson Barred From Securities Industry 150 150 Robert Rex, Esq.

July 1, 2015 Hector Perez , a/k/a Bruce Johnson ,  entered into a settlement with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between December 2009 and February 2011, he…

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  • Robert Rex, Esq.

Losses on F-Squared Investments (Good Harbor Financial US Tactical Core & AlphaSector Allocator Select) May be Recoverable
Losses on F-Squared Investments (Good Harbor Financial US Tactical Core & AlphaSector Allocator Select) May be Recoverable 150 150 Robert Rex, Esq.

July 8, 2015 F-Squared Investments, Inc, an exchange-traded fund manager,  filed for Chapter 11 bankruptcy protection in the U.S. Bankruptcy Court for the District of Delaware. In December of 2014,…

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  • Robert Rex, Esq.

Dougherty & Company Assessed $250K Fine for Failure to Perform Due Diligence
Dougherty & Company Assessed $250K Fine for Failure to Perform Due Diligence 150 150 Robert Rex, Esq.

June 18, 2015 Dougherty & Company, a broker dealer and investment adviser with its principal office located in Minneapolis, Minnesota,  consented to the entry of an Order Instituting Administrative and…

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  • Robert Rex, Esq.

EDI Financial of Irving, Texas, Sanctioned Over Sale of Private Placements
EDI Financial of Irving, Texas, Sanctioned Over Sale of Private Placements 150 150 Robert Rex, Esq.

February 25, 2015 EDI Financial, Inc.   entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that the company failed to adopt and implement…

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