Securities & Exchange Commission (SEC)

  • Robert Rex, Esq.

Royal Alliance, Sagepoint, FSC, Woodbury, Triad, Securities America and Others Are Now Osaic Wealth
Royal Alliance, Sagepoint, FSC, Woodbury, Triad, Securities America and Others Are Now Osaic Wealth 150 150 Robert Rex, Esq.

“Osaic Wealth” Is The Rebrand for Eight Broker Dealers August 2023 According to recent press, Advisor Group, one of the…

  • ER

Shawn Good- Former Morgan Stanley Broker-Regulator Alleges He Operated a $4.8 Million Ponzi Scheme – Wilmington, NC
Shawn Good- Former Morgan Stanley Broker-Regulator Alleges He Operated a $4.8 Million Ponzi Scheme – Wilmington, NC 150 150 ER

Shawn Good Investigation June  2023-Wilmington, NC According to publicly available records Shawn Good a former broker who last worked for…

  • Robert Rex, Esq.

Horter Investment Management Investigation
Horter Investment Management Investigation 150 150 Robert Rex, Esq.

Horter Investment Management Investigation August 2022 -Cincinnati, Ohio We are investigating Cincinnati-based registered investment adviser Horter Investment Management, LLC. (“Horter“).…

  • ER

Anthony Prieto – Former Royal Alliance Broker-Discloses Pending Securities & Exchange Commission Suit-Tampa, FL
Anthony Prieto – Former Royal Alliance Broker-Discloses Pending Securities & Exchange Commission Suit-Tampa, FL 150 150 ER

Anthony Frank Prieto Investigation June 2022-Tampa, FL According to publicly available records Anthony Frank Prieto, a currently unregistered broker who…

  • Robert Rex, Esq.

Ex-Pat With Losses in Your U.S. Brokerage Account? How to Recover Damages.
Ex-Pat With Losses in Your U.S. Brokerage Account? How to Recover Damages. 150 150 Robert Rex, Esq.

Ex-Pat With Losses in Your U.S. Brokerage Account? November 2021 If you are an expat residing in Canada, The Bahamas,…

  • Robert Rex, Esq.

Attention GPB Capital Investors-How to Recover Your Losses
Attention GPB Capital Investors-How to Recover Your Losses 150 150 Robert Rex, Esq.

How to Recover Losses on GPB Funds November 2021 GPB Alleged to be a Ponzi-Like Scheme GPB raised over $1.8…

  • Robert Rex, Esq.

Investigation of Former Merrill Lynch Broker Forrest Jones & Knight Nguyen Investments -Conroe, TX
Investigation of Former Merrill Lynch Broker Forrest Jones & Knight Nguyen Investments -Conroe, TX 150 150 Robert Rex, Esq.

July 2021- Conroe, TX  We are investigating former Merrill Lynch financial advisor Forrest Andrew Jones & a now defunct investment advisory firm…

  • Robert Rex, Esq.

Bradley Mascho-Former Western International Securities Broker- Charged with Securities Fraud- Frederick, MD
Bradley Mascho-Former Western International Securities Broker- Charged with Securities Fraud- Frederick, MD 150 150 Robert Rex, Esq.

November 2019 – Frederick, MD The FINRA records of Bradley Mascho  , a currently unregistered stockbroker who was last employed by  Western International Securities, discloses…

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