Wells Fargo

  • Robert Rex, Esq.

Wells Fargo Advisors Fined $500,000 for Sale of Structured Products
Wells Fargo Advisors Fined $500,000 for Sale of Structured Products 150 150 Robert Rex, Esq.

August 9, 2015 Wells Fargo Advisors  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from August 2005-July 2012, the…

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  • Robert Rex, Esq.

Brian Berger-Fort Lauderdale Stockbroker Fails to Cooperate with Investigation Alleging Theft from Elderly Client-Is Barred from Industry
Brian Berger-Fort Lauderdale Stockbroker Fails to Cooperate with Investigation Alleging Theft from Elderly Client-Is Barred from Industry 150 150 Robert Rex, Esq.

April 2018 Update-Berger pleads guilty to fraud.  July 30, 2015 Brian Michael Berger of Fort Lauderdale, FL, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry…

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  • Robert Rex, Esq.

Losses on F-Squared Investments (Good Harbor Financial US Tactical Core & AlphaSector Allocator Select) May be Recoverable
Losses on F-Squared Investments (Good Harbor Financial US Tactical Core & AlphaSector Allocator Select) May be Recoverable 150 150 Robert Rex, Esq.

July 8, 2015 F-Squared Investments, Inc, an exchange-traded fund manager,  filed for Chapter 11 bankruptcy protection in the U.S. Bankruptcy Court for the District of Delaware. In December of 2014,…

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  • Robert Rex, Esq.

Former Wells Fargo Advisor Broker Sanctioned for Unauthorized Trading in Customer Account
Former Wells Fargo Advisor Broker Sanctioned for Unauthorized Trading in Customer Account 150 150 Robert Rex, Esq.

June 22, 2015 Tyler Powell  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he  exercised discretion in a…

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  • Robert Rex, Esq.

Richard Ohrn-Boca Raton Broker Sanctioned by Securities Regulators for Converting Customer Funds
Richard Ohrn-Boca Raton Broker Sanctioned by Securities Regulators for Converting Customer Funds 150 150 Robert Rex, Esq.

April 28, 2015-Boca Raton, FL Richard Winsor Ohrn ,  was named in an Order Accepting Offer of Settlement (Order) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  while he was…

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  • Robert Rex, Esq.

Florida Stockbroker Lost While Fishing at Sea Staged Disappearance
Florida Stockbroker Lost While Fishing at Sea Staged Disappearance 150 150 Robert Rex, Esq.

April 13, 2015- Boca Raton, FL The Sun Sentinel reports that Richard Ohrn, 44, a former local stock broker who disappeared while fishing in the Atlantic ocean a few weeks back, has…

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