• 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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  • Robert Rex, Esq.

Anthony Diaz-Former IBN Financial Broker-Discloses 50 Customer Complaints
Anthony Diaz-Former IBN Financial Broker-Discloses 50 Customer Complaints 150 150 Robert Rex, Esq.

Scotrun, PA UPDATE January 2020– Anthony Diaz discloses a total of 50 customer complaints, 3 of which are still pending. UPDATE APRIL 2017-The New Jersey Bureau of Securities revoked Anthony…

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  • Robert Rex, Esq.

Rex Securities Law Investigates Kovack Securities Broker Stanley Keyes-Crowley, LA
Rex Securities Law Investigates Kovack Securities Broker Stanley Keyes-Crowley, LA 150 150 Robert Rex, Esq.

February 12, 2016- Crowley, LA Rex Securities Law is investigating Kovack Securities broker Stanley J. Keyes  of Keyes Financial Services in connection with customer complaints and a FINRA regulatory matter in 2011. According to FINRA records …

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  • Robert Rex, Esq.

Larry M. Crabtree-Former WFG Broker Sanctioned by Securities Regulators- Dallas, TX
Larry M. Crabtree-Former WFG Broker Sanctioned by Securities Regulators- Dallas, TX 150 150 Robert Rex, Esq.

December 30 , 2015-Dallas, Texas Larry Michael Crabtree entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with WFG…

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  • Robert Rex, Esq.

GMS Group Sanctioned by Regulators For Failure to Supervise Sale of ETFs
GMS Group Sanctioned by Regulators For Failure to Supervise Sale of ETFs 150 150 Robert Rex, Esq.

October 21, 2015 GMS Group, LLC and Carmine Capone, a general securities sales supervisor employed by GMS Group , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial…

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  • Robert Rex, Esq.

Jason Figueroa-Former GMS Group Broker Discloses $750K Damage Claim-Boca Raton, FL
Jason Figueroa-Former GMS Group Broker Discloses $750K Damage Claim-Boca Raton, FL 150 150 Robert Rex, Esq.

UPDATE APRIL 2017-BOCA RATON, FL–The FINRA records of Jason L. Figueroa disclose that in pending FINRA arbitration case #15-03075 a customer of GMS Group alleges damages of $750,000 for unsuitable…

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  • Robert Rex, Esq.

Fischer, Texas- Caldwell International Securities Named in Complaint by Securities Regulator
Fischer, Texas- Caldwell International Securities Named in Complaint by Securities Regulator 150 150 Robert Rex, Esq.

December 31, 2015- Fischer, Texas On December 31, 2015, the Financial Industry Regulatory Authority  (FINRA) filed a complaint against Caldwell International Securities alleging that firm founder Greg Caldwell and supervisors Paul Jacobs…

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  • Robert Rex, Esq.

Morgan Stanley/Broker Ordered to Pay 92 year old Widow $1 Million for Churning Account
Morgan Stanley/Broker Ordered to Pay 92 year old Widow $1 Million for Churning Account 150 150 Robert Rex, Esq.

December 8, 2015-Boston, MA A FINRA arbitration panel ordered Morgan Stanley and broker Justin Amaral to pay  a 92 year old widow over $1 million for churning her account. The victim…

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