Oil & Gas Master Limited Partnership (MLP) Archives

Robert Rex, Esq.
November 13, 2017

RBC Capital Ordered to Pay $723K For Sale of MLPs to Senior Citizen-Tampa, FL

RBC Capital Ordered to Pay $723K For Sale of MLPs to Senior Citizen-Tampa, FL https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 13, 2017 November 13, 2017

November 2017-Tampa, FL A FINRA arbitration panel comprised by an all public panel of three arbitrators, ordered RBC Capital Markets and broker Bruce Cameron of Norwell, Massachusetts, to pay a former…

Robert Rex, Esq.
September 29, 2017

SEC Files Action vs. FL and TN Oil and Gas Deal Scammers

SEC Files Action vs. FL and TN Oil and Gas Deal Scammers https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g September 29, 2017 September 29, 2017

August 2017-Ft. Lauderdale, FL/ Gallatin, TN The Securities and Exchange Commission charged two men from Tennessee and a man from Florida with allegedly defrauding investors by false promises of high…

Robert Rex, Esq.
September 29, 2017

Couple Awarded $550,000 For Losses on Breitburn Energy Investments-St. Louis

Couple Awarded $550,000 For Losses on Breitburn Energy Investments-St. Louis https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g September 29, 2017 September 29, 2017

September 2017-St. Louis, MO A FINRA arbitration panel ordered J.J.B. Hilliard, W.L. Lyons to pay a couple $450,000 in compensatory damages, $100,000 in punitive damages and costs of over $18,000.…

Robert Rex, Esq.
June 13, 2017

John S. Simpson – Former RBC Capital Markets Broker-Discloses $11M Customer Suit- Hunt Valley, MD

John S. Simpson – Former RBC Capital Markets Broker-Discloses $11M Customer Suit- Hunt Valley, MD https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 13, 2017 June 13, 2017

June 2017- Hunt Valley, MD According to publicly available records John Scott Simpson (CRD#719367) , a former stockbroker who was last employed by RBC Capital Markets, discloses one regulatory event, a currently pending…

Robert Rex, Esq.
May 25, 2017

Brian K. Hardwick-Former Red River Securities Broker-Discloses Sanctions Over Oil & Gas Deals

Brian K. Hardwick-Former Red River Securities Broker-Discloses Sanctions Over Oil & Gas Deals https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 25, 2017 May 25, 2017

May 2017 – Carrollton, TX According to publicly available records Brian K. Hardwick (CRD#4522460) , a former stockbroker who was barred by FINRA from acting as a broker or otherwise associating with firms…

Robert Rex, Esq.
May 25, 2017

Douglas Hardwick-Former Texas Securities Broker-Sanctioned for Sale of Oil & Gas Investments

Douglas Hardwick-Former Texas Securities Broker-Sanctioned for Sale of Oil & Gas Investments https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 25, 2017 May 25, 2017

May 2017 – Carrollton, TX According to publicly available records Douglas R. Hardwick (CRD#4522610) , a stockbroker currently not registered, but who was previously registered with Texas Securities, Inc., discloses a pending regulatory…

Robert Rex, Esq.
May 11, 2017

John Carolyn-UBS Financial Broker-Subject of Numerous Customer Arbitrations Involving Oil & Gas Investments-Houston, TX

John Carolyn-UBS Financial Broker-Subject of Numerous Customer Arbitrations Involving Oil & Gas Investments-Houston, TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 11, 2017 May 11, 2017

May 2017-Houston, TX The FINRA records of John Carolyn, a stockbroker who is employed by UBS Financial Services disclose 5 pending customer disputes involving oil and gas securities and one prior customer dispute. The Financial Industry…

Robert Rex, Esq.
April 30, 2017

Tom (Gil) Parks, Jr.-Former Ameriprise Broker-Discloses Numerous Customer Disputes Over Oil & Gas & Annuity Investments-Stephenville, TX

Tom (Gil) Parks, Jr.-Former Ameriprise Broker-Discloses Numerous Customer Disputes Over Oil & Gas & Annuity Investments-Stephenville, TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 30, 2017 April 30, 2017

See this for JULY 2018 UPDATE JULY 2017-Stephenville, TX According to publicly available records Tom Gilliam Parks, Jr. , (CRD#1558909) , a stockbroker who is not currently registered and who last was employed…

Robert Rex, Esq.
April 26, 2017

Kent Argue – Former Investors Capital Broker- Discloses Customer Dispute – TULSA, OK

Kent Argue – Former Investors Capital Broker- Discloses Customer Dispute – TULSA, OK https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 26, 2017 April 26, 2017

April 2017- Tulsa, OK According to publicly available records Kent L. Argue, (CRD#4482886) , a stockbroker who is currently not registered and was previously registered with Investors Capital Corp. discloses a settled customer dispute. The…