• Robert Rex, Esq.

South Florida Men Named in Alleged Commodities Scam by Regulators
South Florida Men Named in Alleged Commodities Scam by Regulators 150 150 Robert Rex, Esq.

September 17, 2015 The U S Commodity Futures Trading Commission (CFTC) announced  the filing of an enforcement action in US District Court for the Southern District of Florida against: Mintco…

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  • Robert Rex, Esq.

Garrett Ahrens, Former LPL Financial Broker Receives Notice of Investigation by Securities Regulator
Garrett Ahrens, Former LPL Financial Broker Receives Notice of Investigation by Securities Regulator 150 150 Robert Rex, Esq.

September 18, 2015- Lafayette, Lousiana The Investment News reports that Garrett Andrew Ahrens, a broker ranked as one of the top advisers in Louisiana by Barron’s, with assets under management…

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  • Robert Rex, Esq.

Boca Raton/ Plantation Florida Men Charged with Securities Fraud in Connection with Caribbean Pacific Offering
Boca Raton/ Plantation Florida Men Charged with Securities Fraud in Connection with Caribbean Pacific Offering 150 150 Robert Rex, Esq.

September 3, 2015- Boca Raton/Plantation, Florida The Securities and Exchange Commission announced that Manny J. Shulman and David K. Herschman were charged with violating the securities laws for their involvement…

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  • Robert Rex, Esq.

Dennis Flood of Medina County Ohio Sentenced For Insurance Scam
Dennis Flood of Medina County Ohio Sentenced For Insurance Scam 150 150 Robert Rex, Esq.

August 26, 2015- Cleveland, Ohio Cleveland.com reports that Dennis Flood, 64, of Brunswick, Ohio, pleaded guilty to engaging in a pattern of corrupt activity and aggravated theft for stealing  from…

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  • Robert Rex, Esq.

Richard Higgins of Stratham New Hampshire Sentenced for Securities Fraud
Richard Higgins of Stratham New Hampshire Sentenced for Securities Fraud 150 150 Robert Rex, Esq.

August 10, 2015-New Hampshire Richard M. Higgins, of Stratham, New Hampshire was sentenced in Merrimack County Superior Court to serve 5 to 14 years after pleading guilty to one felony…

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  • Robert Rex, Esq.

Tampa Man Pleads Guilty In Facebook Pre-IPO Scam
Tampa Man Pleads Guilty In Facebook Pre-IPO Scam 150 150 Robert Rex, Esq.

August 13, 2015-Tampa, Florida The FBI announced that Gignesh Movalia, 40, of Tampa, pleaded guilty to one could of investment advisor fraud in connection with his operation of the OM…

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  • Robert Rex, Esq.

Dallas Broker Sanctioned for Misrepresentations Made on RadioTalk Show
Dallas Broker Sanctioned for Misrepresentations Made on RadioTalk Show 150 150 Robert Rex, Esq.

August 4, 2015 Daniel Levin, of Dallas, TX ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he made statements…

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  • Robert Rex, Esq.

Robert W. Baird Broker Barred from Industry for Misrepresenting Account Value to Customer
Robert W. Baird Broker Barred from Industry for Misrepresenting Account Value to Customer 150 150 Robert Rex, Esq.

August 4, 2015 Patrick Landon Garrett, of Franklin, TN ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he verbally…

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  • Robert Rex, Esq.

Miami-Barclays Capital Broker Sanctioned for Creating False Brokerage Statement
Miami-Barclays Capital Broker Sanctioned for Creating False Brokerage Statement 150 150 Robert Rex, Esq.

August 3, 2015 Louis Anthony Tinoco, Jr., of Miami, Florida ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that…

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  • Robert Rex, Esq.

Former PRUCO Securities Broker Christopher Yoon Barred by FINRA
Former PRUCO Securities Broker Christopher Yoon Barred by FINRA 150 150 Robert Rex, Esq.

July 14, 2015 Christopher Yoon  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he: lied to a life insurance…

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