• Robert Rex, Esq.

EDI Financial in El Paso, Texas Ordered to Pay Customer $273K
EDI Financial in El Paso, Texas Ordered to Pay Customer $273K 150 150 Robert Rex, Esq.

January 19, 2016-El Paso, Texas A Financial Industry Regulatory Authority (FINRA) arbitration panel ordered stock brokerage firm EDI Financial, Inc. to pay a customer $273,606 in damages and attorney fees.…

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  • Robert Rex, Esq.

Robert Hardcastle Investigation-VSR Financial Services Stockbroker
Robert Hardcastle Investigation-VSR Financial Services Stockbroker 150 150 Robert Rex, Esq.

Chesterfield, MO Rex Securities Law is investigating VSR Financial Services broker Robert B. Hardcastle  in connection with the sale of fixed annuities, mutual funds, equities,  limited partnerships, direct investments in oil & gas,  and…

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  • Robert Rex, Esq.

Dwarka Persaud-Former Buckman Buckman & Reid Broker-Discloses Regulatory Suspension/Customer Disputes/ Bankruptcy Filing-Plainfield, NJ
Dwarka Persaud-Former Buckman Buckman & Reid Broker-Discloses Regulatory Suspension/Customer Disputes/ Bankruptcy Filing-Plainfield, NJ 150 150 Robert Rex, Esq.

UPDATE OCTOBER 2017–Dwarka Persaud Suspended-In August 2017 FINRA suspended Persaud for 18 months to resolve allegations that he violated the terms of a heightened supervision agreement which he and his…

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  • Robert Rex, Esq.

Steven Ridgley, Waddell & Reed Broker, Sanctioned for Unauthorized Trading
Steven Ridgley, Waddell & Reed Broker, Sanctioned for Unauthorized Trading 150 150 Robert Rex, Esq.

March 23, 2016-Louisville, KY Steven D. Ridgley  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  while employed by Waddell…

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  • Robert Rex, Esq.

Daren Dorval Investigation-Legend Securities Broker
Daren Dorval Investigation-Legend Securities Broker 150 150 Robert Rex, Esq.

FINRA records report that Daren Dorval, who has been registered with Legend Securities since 9/2009, is named in a 3 currently pending arbitrations: FINRA Case 15-802 filed by a Florida…

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  • Robert Rex, Esq.

Brian K. Decker Investigation-Legend Securities Broker
Brian K. Decker Investigation-Legend Securities Broker 150 150 Robert Rex, Esq.

See this for MAY 2018 UPDATE. Brian Decker barred from securities industry by regulators.  ORIGINAL POST MARCH 2016 FINRA records report that Brian K. Decker, who has been registered with…

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  • Robert Rex, Esq.

Larry Werbel Indicted For Securities Fraud & Ordered to Pay $100,000 by FINRA Arbitrators- In the Same Week
Larry Werbel Indicted For Securities Fraud & Ordered to Pay $100,000 by FINRA Arbitrators- In the Same Week 150 150 Robert Rex, Esq.

February 24, 2016- Cleveland, Ohio A Financial Industry Regulatory Authority (FINRA) arbitration panel ordered former Summit Brokerage Services stockbroker Larry Werbel , who operated Evolution Partners Wealth Management of Chagrin Falls,…

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  • Robert Rex, Esq.

Sagepoint Financial Hit With Arbitration Award for Allowing Husband to Trade Wife’s Account
Sagepoint Financial Hit With Arbitration Award for Allowing Husband to Trade Wife’s Account 150 150 Robert Rex, Esq.

March 3, 2016- Des Moines, Iowa A Financial Industry Regulatory Authority (FINRA) arbitration panel ordered Sagepoint Financial to pay $57,500 to a wife who brought the action against Sagepoint alleging…

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  • Robert Rex, Esq.

Stockbroker Leavitt Sanders has 53 Customer Complaints- Invest Financial Corporation/ Triad -West Point, Georgia
Stockbroker Leavitt Sanders has 53 Customer Complaints- Invest Financial Corporation/ Triad -West Point, Georgia 150 150 Robert Rex, Esq.

February 2019- West Point, Georgia We are investigating Leavitt F. Sanders,  of Leavitt Financial Group, who was a registered stockbroker with the following broker dealers. He is not currently registered…

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