SEC Charges Southlake Texas Oil and Gas Exploration Company, CEO and Promoter with Investment Fraud

SEC Charges Southlake Texas Oil and Gas Exploration Company, CEO and Promoter with Investment Fraud 150 150 Robert Rex, Esq.

June 18, 2015 The Securities and Exchange Commission (SEC) filed an action charging Norstra Energy, based in Southlake, Texas and its CEO Glen Landry with defrauding investors about reserve estimates…

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Justin Amaral, Morgan Stanley Broker, Barred from Securities Industry

Justin Amaral, Morgan Stanley Broker, Barred from Securities Industry 150 150 Robert Rex, Esq.

June 19, 2015 Justin Amaral  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he refused to appear…

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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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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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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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Boynton Beach, FL Resident Pleads Guilty in Precious Metal Fraud Scheme

Boynton Beach, FL Resident Pleads Guilty in Precious Metal Fraud Scheme 150 150 Robert Rex, Esq.

June 17, 2015-Palm Beach County Florida Jeffrey Schuler, 54, of Boynton Beach, Florida pled guilty to one count of wire fraud, in connection with the operation of Fort Lauderdale based…

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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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Losses on Cushing Royalty & Income Fund ??

Losses on Cushing Royalty & Income Fund ?? 150 150 Robert Rex, Esq.

June 15,2015, Cushing & Royalty Income Fund (SRF) which traded at $25 in February 2012 currently trades at less than $5. It is a leveraged fund which invests in oil…

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Houston Couple Awarded $1.1 Million Against Broker Terry Chilton for Losses on Annuities

Houston Couple Awarded $1.1 Million Against Broker Terry Chilton for Losses on Annuities 150 150 Robert Rex, Esq.

May 15, 2015-Houston, Texas A FINRA (Financial Industry Regulatory Authority) arbitration panel in Houston, Texas, awarded over $1.1 million to a couple who filed a claim alleging that the annuities…

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