Private Placements

  • Robert Rex, Esq.

Rex Securities Law Investigates VSR Financial Services Broker Lisa Allen- Austin, TX
Rex Securities Law Investigates VSR Financial Services Broker Lisa Allen- Austin, TX 150 150 Robert Rex, Esq.

Austin, Texas UPDATE DECEMBER 2017-Lisa Allen is currently registered with Calton & Associates. See this for more information regarding VSR Financial Services.  Rex Securities Law is investigating VSR Financial Services broker Lisa…

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  • Robert Rex, Esq.

Rex Securities Law Investigates Former VSR Financial Services Broker Gregory Ellis-Baton Rouge, LA
Rex Securities Law Investigates Former VSR Financial Services Broker Gregory Ellis-Baton Rouge, LA 150 150 Robert Rex, Esq.

Baton Rouge, LA Rex Securities Law is investigating former VSR Financial Services broker Gregory M. Ellis  in connection with the sale of various alternative investments including real estate securities, oil and gas securities,…

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  • Robert Rex, Esq.

Former VSR Financial Broker Kevin M. Nevin Discloses Pending Customer Dispute-St. Louis Park, MN
Former VSR Financial Broker Kevin M. Nevin Discloses Pending Customer Dispute-St. Louis Park, MN 150 150 Robert Rex, Esq.

Saint Louis Park, MN UPDATE FEBRUARY 2017– IN July 2016 a customer of Nevin’s former employer VSR Financial filed FINRA case 16-1993 alleging fraud and unsuitability in connection with an investment…

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  • Robert Rex, Esq.

Jesse J. Griffin-Former VSR Financial Broker-Discloses Settlement of Customer Complaints- Palm City, FL
Jesse J. Griffin-Former VSR Financial Broker-Discloses Settlement of Customer Complaints- Palm City, FL 150 150 Robert Rex, Esq.

Rex Securities Law is investigating former VSR Financial Services broker Jesse J. Griffin, Jr. of Palm City, Florida, in connection with the sale of various alternative investments including real estate securities,…

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  • Robert Rex, Esq.

Dennis Van Patter Investigation -First Financial Services Group-Plano,TX
Dennis Van Patter Investigation -First Financial Services Group-Plano,TX 150 150 Robert Rex, Esq.

November 20, 2015-Plano, Texas Dennis Van Patter , a broker with VSR FInancial Services operates his financial service business through First Financial Services Group in Plano, Texas. Van Patter recently entered into a…

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  • Robert Rex, Esq.

San Antonio Based Braymen, Lambert & Noel Securities Sanctioned by Regulator
San Antonio Based Braymen, Lambert & Noel Securities Sanctioned by Regulator 150 150 Robert Rex, Esq.

August 26, 2015- San Antonio, Texas Braymen, Lambert and Noel Securities (BLNS)  and Shannon Braymen  ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory…

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  • Robert Rex, Esq.

Mark Plummer/Chestnut Exploration Expelled From Securities Industry-Richardson, TX
Mark Plummer/Chestnut Exploration Expelled From Securities Industry-Richardson, TX 150 150 Robert Rex, Esq.

DECEMBER 2016 UPDATE-Richardson, Texas In an Extended Hearing Panel Decision, FINRA expelled Texas E&P Partners for providing a falsified document to FINRA during an investigation. Mark Plummer, its CEO, was…

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  • Robert Rex, Esq.

Stockbroker Sanctioned for Unsuitable Sale of Private Placement Securities
Stockbroker Sanctioned for Unsuitable Sale of Private Placement Securities 150 150 Robert Rex, Esq.

July 21, 2015 John P. Jones  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he engaged in…

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  • Robert Rex, Esq.

SEC Charges Texas Oil Company Mieka Energy and Its President with Securities Fraud
SEC Charges Texas Oil Company Mieka Energy and Its President with Securities Fraud 150 150 Robert Rex, Esq.

April 10, 2015- Flower Mound, Texas The Securities and Exchange Commission (SEC) charged Mieka Energy Corporation and Daro Ray Blankenship, its president, with fraudulently offering oil and gas investments. Vadda…

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