• Robert Rex, Esq.

Chazon Stein-Former Primex Stock Broker-Discloses Permanent Bar from Securities Industry-Boca Raton, FL
Chazon Stein-Former Primex Stock Broker-Discloses Permanent Bar from Securities Industry-Boca Raton, FL 150 150 Robert Rex, Esq.

July 2016-Boca Raton, Florida The FINRA records of Chazon Stein (also known as Chaz Stein, Chazoni Stein & Zoni Stein) , a  currently unlicensed stockbroker who last worked for  Primex , disclose a prior regulatory event and 2 prior…

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  • Robert Rex, Esq.

Kenley Brisard -Former RIdgeway & Conger Broker-Discloses Regulatory Investigation and Termination From Employment
Kenley Brisard -Former RIdgeway & Conger Broker-Discloses Regulatory Investigation and Termination From Employment 150 150 Robert Rex, Esq.

Jericho, New York According to FINRA records,  Kenley Brisard ,   a stockbroker who formerly worked for  Ridgeway & Conger   discloses a pending regulatory matter, a  final customer dispute and 2 terminations from employment and 3 pending judgment/liens.…

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  • Robert Rex, Esq.

Oklahoma Securities Regulator Orders Houston Based Company to Cease and Desist
Oklahoma Securities Regulator Orders Houston Based Company to Cease and Desist 150 150 Robert Rex, Esq.

March 4, 2016-Oklahoma City, OK The Oklahoma Department of Securities file an Order to Cease and Desist and Notice of Opportunity for Hearing in the matter of Houston-based ThinAir Wireless,…

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  • Robert Rex, Esq.

Texas Securities Commissioner Enters Cease & Desist vs. SoBell and Andrew Gamber
Texas Securities Commissioner Enters Cease & Desist vs. SoBell and Andrew Gamber 150 150 Robert Rex, Esq.

February 1, 2016- Austin, Texas Texas Securities Commissioner John Morgan ordered Mississippi based SoBell Corp. and its owner, Andrew Gamber of Jonesboro, Arkansas, to stop selling an investment called “Pension…

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  • Robert Rex, Esq.

Kansas Businessman Sentenced to Five Years Probation for Oil Lease Scam
Kansas Businessman Sentenced to Five Years Probation for Oil Lease Scam 150 150 Robert Rex, Esq.

November 24, 2015- Wichita, Kansas The Topeka Capital-Journal reports that Kansas businessman Paul Carageannis, 56, who had previously entered a plea of no contest to one count of felony fraud…

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  • Robert Rex, Esq.

Hector Perez a/k/a Bruce Johnson Barred From Securities Industry
Hector Perez a/k/a Bruce Johnson Barred From Securities Industry 150 150 Robert Rex, Esq.

July 1, 2015 Hector Perez , a/k/a Bruce Johnson ,  entered into a settlement with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between December 2009 and February 2011, he…

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  • Robert Rex, Esq.

Boca Raton/ Plantation Florida Men Charged with Securities Fraud in Connection with Caribbean Pacific Offering
Boca Raton/ Plantation Florida Men Charged with Securities Fraud in Connection with Caribbean Pacific Offering 150 150 Robert Rex, Esq.

September 3, 2015- Boca Raton/Plantation, Florida The Securities and Exchange Commission announced that Manny J. Shulman and David K. Herschman were charged with violating the securities laws for their involvement…

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  • Robert Rex, Esq.

Carson Energy / Austin Texas Residents Named In Iowa Oil & Gas Securities Fraud Action
Carson Energy / Austin Texas Residents Named In Iowa Oil & Gas Securities Fraud Action 150 150 Robert Rex, Esq.

August 28, 2015 Iowa Insurance Commissioner Nick Gerhart issued a cease and desist order to the following Austin, Texas residents: Carson Energy, Inc.              …

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  • Robert Rex, Esq.

Frederick Voight Charged by SEC with $114M “Driver Alertness Detection System” Ponzi Scheme-Houston, TX
Frederick Voight Charged by SEC with $114M “Driver Alertness Detection System” Ponzi Scheme-Houston, TX 150 150 Robert Rex, Esq.

August 3, 2015-Hoiuston, Texas Frederick Alan Voight of Richmond, Texas, was charged by the Securities and Exchange Commission with defrauding over 300 investors in a $114 million Ponzi scheme. Investors…

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  • Robert Rex, Esq.

Ohio Division of Securities Issues 2015 Third Quarter Bulletin-Civil & Criminal Securities Actions
Ohio Division of Securities Issues 2015 Third Quarter Bulletin-Civil & Criminal Securities Actions 150 150 Robert Rex, Esq.

July 6, 2015- Columbus, Ohio The Ohio Division of Securities publishes a Securities Bulletin quarterly summarizing recent changes to securities rules and laws in the State of Ohio, reporting on…

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