• Robert Rex, Esq.

Bennett Kight Indicted on Federal Fraud Charges-Atlanta
Bennett Kight Indicted on Federal Fraud Charges-Atlanta 150 150 Robert Rex, Esq.

March 21, 2016-Atlanta, GA Attorney Bennett L. Kight, 75,  was indicted on federal charges of mail fraud and accused of misappropriating $2 million from an elderly client while he was acting…

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  • Robert Rex, Esq.

Citadel Securities-Numerous Recent Regulatory Sanctions
Citadel Securities-Numerous Recent Regulatory Sanctions 150 150 Robert Rex, Esq.

March 2016 According to FINRA records, Citadel Securities has a number of regulatory sanctions over the recent years, including the following: October 2015 FINRA Sanction- The firm used a trading logic that…

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  • Robert Rex, Esq.

Thomas Schober- Former SII Investments Stockbroker-Sued by Customer Over Annuity Investments
Thomas Schober- Former SII Investments Stockbroker-Sued by Customer Over Annuity Investments 150 150 Robert Rex, Esq.

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…

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  • Robert Rex, Esq.

Gary D. Moore- Former VSR Financial Broker- Investigation- Sarasota, Florida
Gary D. Moore- Former VSR Financial Broker- Investigation- Sarasota, Florida 150 150 Robert Rex, Esq.

Sarasota, Florida Rex Securities Law is investigating former VSR Financial Services broker Gary D. Moore  in connection with the sale of limited partnerships, promissory notes and real estate securities during the time he was employed…

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  • Robert Rex, Esq.

G.A. Repple Broker Named in Customer Arbitration RE: Church Bond Losses- Casselberry, FLA
G.A. Repple Broker Named in Customer Arbitration RE: Church Bond Losses- Casselberry, FLA 150 150 Robert Rex, Esq.

The Financial Industry Regulatory Authority (FINRA) reports that G.A. Repple & Company broker Frederick P. Bremer has been named in an arbitration filed by a client who is seeking damages…

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  • Robert Rex, Esq.

Bruce Slater Named in $500K FINRA Arbitration-RIdgewood Energy Funds
Bruce Slater Named in $500K FINRA Arbitration-RIdgewood Energy Funds 150 150 Robert Rex, Esq.

Northville, Michigan The Financial Industry Regulatory Authority (FINRA) reports that Bruce Slater of Transamerica Financial Advisors, Inc. has been named in a FINRA arbitration. According to FINRA, the clients allege…

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  • Robert Rex, Esq.

Recovery Options for Investors Who Purchased Oil & Gas Investments from Berthel Fisher
Recovery Options for Investors Who Purchased Oil & Gas Investments from Berthel Fisher 150 150 Robert Rex, Esq.

The Financial Industry Regulatory Authority (FINRA) recently fined Berthel Fisher and their affiliate Securities Management & Research $775,000 for supervisory failures related to the sale of various alternative investments, including…

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  • Robert Rex, Esq.

Michael Stern-Former HJ Sims/Newbridge Securities Broker-Discloses Customer Disputes-Boca Raton, FL
Michael Stern-Former HJ Sims/Newbridge Securities Broker-Discloses Customer Disputes-Boca Raton, FL 150 150 Robert Rex, Esq.

JUNE 2017- Boca Raton, FL A review of FINRA records reveals that Michael B. Stern,  is not currently licensed to act as a broker or as an investment adviser according to…

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  • Robert Rex, Esq.

Winston Turner-Former MetLife Broker – Barred from Securities Industry-Sarasota, FL
Winston Turner-Former MetLife Broker – Barred from Securities Industry-Sarasota, FL 150 150 Robert Rex, Esq.

UPDATE AUGUST 2016–Winston Turner was permanently barred from the securities industry. According to FINRA records Turner refused to produce significant categories of information requested by FINRA and failed to appear for…

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  • Robert Rex, Esq.

David McQueen’s Conviction/30 Year Sentence on Ponzi Scheme Upheld
David McQueen’s Conviction/30 Year Sentence on Ponzi Scheme Upheld 150 150 Robert Rex, Esq.

1/21/2016- Grand Rapids, MI David McQueen‘s  conviction and 30 year prison sentence for mail fraud, money laundering and tax charges was upheld by the Sixth Circuit Court of Appeals in Cincinnati.…

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