• Robert Rex, Esq.

Aldo Marchena-Former Northeast Securities Broker-Discloses Settlments to Customers and Regulatory Sanction-Boca Raton, FL
Aldo Marchena-Former Northeast Securities Broker-Discloses Settlments to Customers and Regulatory Sanction-Boca Raton, FL 150 150 Robert Rex, Esq.

UPDATE March 2019–Aldo Marchena, who is not currently registered with any broker dealer,  was recently permanently barred from the securities industry in Florida. He discloses four customer disputes on his…

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  • Robert Rex, Esq.

Losses on Tiburon Saltwater Reclamation Fund Private Placement ?
Losses on Tiburon Saltwater Reclamation Fund Private Placement ? 150 150 Robert Rex, Esq.

October 2017-Austin, Texas / Greenville, South Carolina If you lost money on the Tiburon Saltwater Reclamation Fund, we may be able to help you recover damages. FINRA (The Financial Industry…

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  • Robert Rex, Esq.

Paul V Blum-Former RBC Capital Broker- Sued by Clients for Unsuitable Trading-W. Palm Beach, FL
Paul V Blum-Former RBC Capital Broker- Sued by Clients for Unsuitable Trading-W. Palm Beach, FL 150 150 Robert Rex, Esq.

October 2017-West Palm Beach, FL The FINRA records of  Paul Vincent Blum ,  a  stockbroker who was previously employed by RBC Capital Markets disclose a prior regulatory event, 9 pending customer disputes and 14…

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  • Robert Rex, Esq.

San Antonio Based Investment Professionals Inc. Sanctioned for Unsuitable Advice
San Antonio Based Investment Professionals Inc. Sanctioned for Unsuitable Advice 150 150 Robert Rex, Esq.

October 2017-San Antonio, Texas San Antonio, Texas, based stock brokerage firm Investment Professionals, Inc.  (IPI)  recently was ordered by William F. Galvin of the Massachusetts Securities Division to pay a $100,000 fine…

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  • Robert Rex, Esq.

VSR Financial Services-How to Recover Damages On Losses In REITs and Alt. Investments
VSR Financial Services-How to Recover Damages On Losses In REITs and Alt. Investments 150 150 Robert Rex, Esq.

April 2018–VSR Financial Services closed down its operations in the Fall of 2016. Many of its brokers and clients have been transferred to Summit Brokerage Services, a related entity which is…

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  • Robert Rex, Esq.

Dion R. Padilla Annuity Investigation-Former NEXT Financial Group Broker-San Antonio, TX
Dion R. Padilla Annuity Investigation-Former NEXT Financial Group Broker-San Antonio, TX 150 150 Robert Rex, Esq.

May 2019 UPDATE- Dion Padilla/ AT&T Retirement Account investigation. See this for details.   Original Post-JUNE 2018 -San Antonio, Texas We continue our investigation of former NEXT Financial Group broker…

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  • Robert Rex, Esq.

Employer of Stuart, FLA, Broker Christopher D. Sinkula Named in FINRA Arbitration
Employer of Stuart, FLA, Broker Christopher D. Sinkula Named in FINRA Arbitration 150 150 Robert Rex, Esq.

FOLLOW THIS LINK FOR FEBRUARY 2019 UPDATE-Chris SInkula subject of pending customer disputes of nearly $3 million.  Original Post-September 2017-Stuart, Florida We have filed a FINRA arbitration claim against Janney…

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  • Robert Rex, Esq.

Athanasios Tomaras-Former Fulcrum Securities Broker-Discloses Suit Over Energy Investments-Oldsmar, FL
Athanasios Tomaras-Former Fulcrum Securities Broker-Discloses Suit Over Energy Investments-Oldsmar, FL 150 150 Robert Rex, Esq.

Oldsmar, Florida-April 2019 The FINRA records of  Athanasios Tomaras,  a  stockbroker who currently is employed by  R. F. Lafferty & Co.  disclose a prior regulatory event and 5 prior customer disputes. The Financial…

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  • Robert Rex, Esq.

Couple Awarded $550,000 For Losses on Breitburn Energy Investments-St. Louis
Couple Awarded $550,000 For Losses on Breitburn Energy Investments-St. Louis 150 150 Robert Rex, Esq.

September 2017-St. Louis, MO A FINRA arbitration panel ordered J.J.B. Hilliard, W.L. Lyons to pay a couple $450,000 in compensatory damages, $100,000 in punitive damages and costs of over $18,000.…

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