• Robert Rex, Esq.

Matthew W. Fox-Wayne Energy-Named in SEC Fraud Complaint-Plano, TX
Matthew W. Fox-Wayne Energy-Named in SEC Fraud Complaint-Plano, TX 150 150 Robert Rex, Esq.

April 2017-Plano, Texas The Securities and Exchange Commission charged Matthew W. Fox of Plano, TX, and his company Wayne Energy with securities fraud in connection with a joint venture formed…

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  • Robert Rex, Esq.

RIchard G. Cody-Former Concorde Investment Services & IFS Securities Broker-Sentenced for Fraud-Spring Lake, NJ
RIchard G. Cody-Former Concorde Investment Services & IFS Securities Broker-Sentenced for Fraud-Spring Lake, NJ 150 150 Robert Rex, Esq.

October 2020– Spring Lake, New Jersey According to publicly available records Richard G. Cody , (CRD# 2794558) ,  a  currently unregistered stockbroker who last worked for IFS Securities  , has numerous disclosures:  1 pending…

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  • Robert Rex, Esq.

Kestra Investment Services Discloses Regulatory Fines/ Arbitration Awards-Austin, Texas
Kestra Investment Services Discloses Regulatory Fines/ Arbitration Awards-Austin, Texas 150 150 Robert Rex, Esq.

April 2017-Austin, Texas According to publicly available records Kestra Investment Services (formerly NFP ) , (CRD# 42046) ,  a  FINRA registered broker dealer headquartered in Austin, Texas,  discloses  10 prior final regulatory events and…

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  • Robert Rex, Esq.

Aegis Capital Corp. Discloses Investigation by FINRA, SEC & FINCEN
Aegis Capital Corp. Discloses Investigation by FINRA, SEC & FINCEN 150 150 Robert Rex, Esq.

March 2017-New York According to publicly available records filed with the Securities & Exchange Commission, Aegis Capital Corporation is being investigated by three regulatory agencies: FINRA-The Financial Industry Regulatory Authority SEC-Securities &…

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  • Robert Rex, Esq.

Mark Varacchi and Sentinel Growth Fund Management Accused of Theft by Regulators
Mark Varacchi and Sentinel Growth Fund Management Accused of Theft by Regulators 150 150 Robert Rex, Esq.

February 2017- Washington The Securities and Exchange Commission (SEC) charged Sentinel Growth Fund Management and its founder Mark J. Varacchi with stealing money from investors to settle a private lawsuit,…

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  • Robert Rex, Esq.

Patrick O. Howard, Optimal Economics Capital Prnrs, Howard Capital Named in Regulatory Action-Dallas, TX
Patrick O. Howard, Optimal Economics Capital Prnrs, Howard Capital Named in Regulatory Action-Dallas, TX 150 150 Robert Rex, Esq.

February 2017-Dallas, Texas Patrick O. Howard and two companies he controls, Optimal Economics Capital Partners and Howard Capital Holdings were named in a complaint filed by The Securities and Exchange…

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  • Robert Rex, Esq.

Former Essex Financial CEO Sanctioned by Regulators-Faces Home Confinement
Former Essex Financial CEO Sanctioned by Regulators-Faces Home Confinement 150 150 Robert Rex, Esq.

January 2017-Old Lyme, Connecticut The Day, an online news service covering a 20 town region in eastern Connecticut reports that John W. Rafal, 66, of Old Lyme, founder and former…

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  • Robert Rex, Esq.

How to Recover Losses on Payson Petroleum Investments
How to Recover Losses on Payson Petroleum Investments 150 150 Robert Rex, Esq.

November 2016 -Dallas, Texas Matthew Carl Griffin and his brother William Daniel Griffin were named in a civil action filed by the Securities and Exchange Commission (SEC) charging them with…

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  • Robert Rex, Esq.

Miami, FL-DOJ Charges Two With Securities Fraud
Miami, FL-DOJ Charges Two With Securities Fraud 150 150 Robert Rex, Esq.

July 2016-Miami, Florida The Department of Justice announced that stock promoters Daniel McKelvey, 49, of Foster City, CA and Jeffrey L. Lamson, 51, of El Dorado Hills, CA, have been charged…

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