Undisclosed compensation Archives

Robert Rex, Esq.
February 13, 2017

Former Essex Financial CEO Sanctioned by Regulators-Faces Home Confinement

Former Essex Financial CEO Sanctioned by Regulators-Faces Home Confinement https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 13, 2017 February 13, 2017

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…

Robert Rex, Esq.
July 25, 2016

Daniel J. O’Neill-Aegis Capital Broker-Discloses Pending Customer Dispute and Outstanding Liens

Daniel J. O’Neill-Aegis Capital Broker-Discloses Pending Customer Dispute and Outstanding Liens https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 25, 2016 July 25, 2016

July 2016-Melville, New York The FINRA records of Daniel J. O’Neill , a stock broker currently employed by Aegis Capital Corp. , disclose a pending customer dispute, a prior final financial event and 3 outstanding judgment/liens. The…

Robert Rex, Esq.
June 4, 2016

James G. Collard-Former VFinance Broker-Discloses Suspension/Fine-Boerne, TX

James G. Collard-Former VFinance Broker-Discloses Suspension/Fine-Boerne, TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 4, 2016 June 4, 2016

Boerne, Texas MAY 2017 UPDATE-In October 2016, James Collard was suspended by FINRA for 10 days and ordered to pay fines and restitution of about $37,000. Collard has been registered…

Robert Rex, Esq.
May 10, 2016

Patrick H. Maddren-Former Dawson James Broker-Discloses Settlment of $1M Customer Dispute

Patrick H. Maddren-Former Dawson James Broker-Discloses Settlment of $1M Customer Dispute https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 10, 2016 April 11, 2024

UPDATE FEBRUARY 2017-FINRA records disclose that arbitration 16-00849, discussed below, was settled for a payment $295,000 by Dawson James Securities. ORIGINAL POST-May 2016-Ft. Lauderdale, FL The Financial Industry Regulatory Authority…

Robert Rex, Esq.
March 26, 2016

Jason Harris Klabal Investigation-Legend Securities Broker

Jason Harris Klabal Investigation-Legend Securities Broker https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 26, 2016 March 26, 2016

FINRA records report that Jason Harris Klabal, who has been registered with Legend Securities since 8/2011, is named in a currently pending arbitration (FINRA Case 15-484) by a customer who…

Robert Rex, Esq.
March 23, 2016

Sarah H. Hancock-Securities License Revoked by Texas Regulator-Austin, TX

Sarah H. Hancock-Securities License Revoked by Texas Regulator-Austin, TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 23, 2016 March 23, 2016

March 22, 2016-Austin, Texas Texas Securities Commissioner John Morgan revoked the investment adviser representative registration of Sarah Helen Hancock, of Dallas, TX, effective April 15, 2016. In addition Hancock was…

Robert Rex, Esq.
March 21, 2016

James Poe of Ft. Worth Sanctioned for Sale of Life Settlements

James Poe of Ft. Worth Sanctioned for Sale of Life Settlements https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 21, 2016 March 21, 2016

March 21, 2016- Austin, Texas The Texas State Securities Board (TSSB) entered an order revoking the registration of Fort Worth investment adviser James Poe as well as his company, James…

Robert Rex, Esq.
March 18, 2016

Edward Beyn-Former Craig Scott Capital Broker-Named In FINRA Churning Complaint

Edward Beyn-Former Craig Scott Capital Broker-Named In FINRA Churning Complaint https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 18, 2016 March 18, 2016

March 16, 2016-Uniondale, New York Beyn’s Excessive Trading Generated Commissions of $1.7M The Financial Industry Regulatory Authority (FINRA) filed a complaint against former Craig Scott Capital broker Edward Beyn alleging…

Robert Rex, Esq.
March 18, 2016

Thomas Schober- Former SII Investments Stockbroker-Sued by Customer Over Annuity Investments

Thomas Schober- Former SII Investments Stockbroker-Sued by Customer Over Annuity Investments https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 18, 2016 March 18, 2016

UPDATE MARCH 2017– Thomas Schober, formerly a broker with SII Investments discloses a pending customer dispute and two prior customer disputes that have been resolved. All of the disputes relate…