• Robert Rex, Esq.

Update on Recovery of Reef Oil & Gas Investment Losses
Update on Recovery of Reef Oil & Gas Investment Losses 150 150 Robert Rex, Esq.

Reef Oil and Gas of Richardson, Texas, has been sponsoring energy related investments for many years.   These investments are marketed by many different brokerage firms nationwide. Investors who have suffered…

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  • Robert Rex, Esq.

Garrett “Drew” Ahrens- Former LPL Financial Broker-Discloses Sanction and Settlements Over REIT Investments-Lafayette, LA
Garrett “Drew” Ahrens- Former LPL Financial Broker-Discloses Sanction and Settlements Over REIT Investments-Lafayette, LA 150 150 Robert Rex, Esq.

May 2017- Lafayette, Louisiana Garrett A. Ahrens  (aka Drew Ahrens) , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between…

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  • Robert Rex, Esq.

Charles Posner-Former Ascendiant Capital Markets Broker Sanctioned by Securities Regulator-Boynton Beach, FL
Charles Posner-Former Ascendiant Capital Markets Broker Sanctioned by Securities Regulator-Boynton Beach, FL 150 150 Robert Rex, Esq.

August 5, 2015- Boynton Beach, Florida Charles Posner , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he willfully failed to…

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  • Robert Rex, Esq.

Roman T. Luckey- Former Newport Coast Broker Sanctioned for Failing to Detect Churning and Abuse of Customer Accounts
Roman T. Luckey- Former Newport Coast Broker Sanctioned for Failing to Detect Churning and Abuse of Customer Accounts 150 150 Robert Rex, Esq.

August 14,  2015- Long Beach, CA Roman Tyler Luckey, submitted an Offer of Settlement to  the Financial Industry Regulatory Authority (FINRA) to resolve allegations that as Manager of Trading for Newport Coast Securities…

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  • Robert Rex, Esq.

Daniel Levin-Former Titan Securities Broker-Sanctioned for ‘Investment Talk” Radio Show-Dallas, TX
Daniel Levin-Former Titan Securities Broker-Sanctioned for ‘Investment Talk” Radio Show-Dallas, TX 150 150 Robert Rex, Esq.

August 7,  2015- Dallas, Texas  FINRA records disclose that Daniel E. Levin  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations…

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  • Robert Rex, Esq.

Former Robert W Baird Broker -Franklin, TN, Barred From Securities Industry
Former Robert W Baird Broker -Franklin, TN, Barred From Securities Industry 150 150 Robert Rex, Esq.

Patrick L. Garrett ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he intentionally and knowingly misrepresented to a…

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  • Robert Rex, Esq.

Dallas Based VCA Securities Censured by Securities Regulators
Dallas Based VCA Securities Censured by Securities Regulators 150 150 Robert Rex, Esq.

August 12, 2015- Dallas, Texas VCA Securities  (formerly Bluffview Securities)  , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that…

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  • Robert Rex, Esq.

Port Orange Florida Stock Broker Sanctioned by FINRA
Port Orange Florida Stock Broker Sanctioned by FINRA 150 150 Robert Rex, Esq.

July 24,  2015- Port Orange, Florida Dennis Ray Roberts ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he borrowed…

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