Dennis Van Patter Investigation -First Financial Services Group-Plano,TX

Dennis Van Patter Investigation -First Financial Services Group-Plano,TX 150 150 Robert Rex, Esq.

November 20, 2015-Plano, Texas Dennis Van Patter , a broker with VSR FInancial Services operates his financial service business through First Financial Services Group in Plano, Texas. Van Patter recently entered into a…

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Losses on RCS Capital (RCAP) ? Recovery Options for Investors.

Losses on RCS Capital (RCAP) ? Recovery Options for Investors. 150 150 Robert Rex, Esq.

December 3, 2015 RCS Capital Corp. (RCAP) was trading at over $38 in April 2014. At the time of this writing it is trading for 43 cents. Investors who have…

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Update on Recovery of Reef Oil & Gas Investment Losses

Update on Recovery of Reef Oil & Gas Investment Losses 150 150 Robert Rex, Esq.

Reef Oil and Gas of Richardson, Texas, has been sponsoring energy related investments for many years.   These investments are marketed by many different brokerage firms nationwide. Investors who have suffered…

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Roman T. Luckey- Former Newport Coast Broker Sanctioned for Failing to Detect Churning and Abuse of Customer Accounts

Roman T. Luckey- Former Newport Coast Broker Sanctioned for Failing to Detect Churning and Abuse of Customer Accounts 150 150 Robert Rex, Esq.

August 14,  2015- Long Beach, CA Roman Tyler Luckey, submitted an Offer of Settlement to  the Financial Industry Regulatory Authority (FINRA) to resolve allegations that as Manager of Trading for Newport Coast Securities…

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Robert Hinz-Former VSR Financial Services Broker-Discloses Customer Disputes

Robert Hinz-Former VSR Financial Services Broker-Discloses Customer Disputes 150 150 Robert Rex, Esq.

UPDATE DECEMBER 2016–FINRA records indicate that Robert M. Hinz, Jr. left VSR Financial Services in July 2016 and is not currently registered with any FINRA broker dealer. ORIGINAL POST – Seatlle,…

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Stockbroker Sanctioned for Unsuitable Sale of Private Placement Securities

Stockbroker Sanctioned for Unsuitable Sale of Private Placement Securities 150 150 Robert Rex, Esq.

July 21, 2015 John P. Jones  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he engaged in…

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Cape Securities Fined $125K by Securities Regulators

Cape Securities Fined $125K by Securities Regulators 150 150 Robert Rex, Esq.

May 5, 2015 Cape Securities  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that: from 2/2012-9/2012 Cape Securities failed…

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Investigation of William Tatro-Former First Allied Securities Stock Broker

Investigation of William Tatro-Former First Allied Securities Stock Broker 150 150 Robert Rex, Esq.

July 10, 2015- Rex Securities Law is investigating former stock broker William “Bill” Tatro who was employed by First Allied Securities from 11/2003-9/2010. According to FINRA records, Tatro was permanently barred from the securities industry in…

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Robert K Smith- Former Berthel Fisher Broker-Discloses Customer Disputes- Mobile, Alabama

Robert K Smith- Former Berthel Fisher Broker-Discloses Customer Disputes- Mobile, Alabama 150 150 Robert Rex, Esq.

UPDATE MARCH 2017-In  April 2016 Robert K. Smith was suspended by FINRA for three. The suspension was lifted July 12, 2016.  Smith currently discloses a total of 13 prior customer…

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