• Robert Rex, Esq.

Fischer, Texas- Caldwell International Securities Named in Complaint by Securities Regulator
Fischer, Texas- Caldwell International Securities Named in Complaint by Securities Regulator 150 150 Robert Rex, Esq.

December 31, 2015- Fischer, Texas On December 31, 2015, the Financial Industry Regulatory Authority  (FINRA) filed a complaint against Caldwell International Securities alleging that firm founder Greg Caldwell and supervisors Paul Jacobs…

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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.

Nine Indicted in South Florida in Oxford City Football Club Securities Fraud
Nine Indicted in South Florida in Oxford City Football Club Securities Fraud 150 150 Robert Rex, Esq.

December 11., 2015-  Miami, Florida The FBI reports that nine individuals have been indicted for operating a Broward County telemarketing scheme (aka “boiler room”) that caused investors nationwide to lose…

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  • Robert Rex, Esq.

LPL Financial Stock Broker Barred from Industry Following Allegations that Funds Were Improperly Taken
LPL Financial Stock Broker Barred from Industry Following Allegations that Funds Were Improperly Taken 150 150 Robert Rex, Esq.

October 7, 2015-Fishers, IN Barbara D. Fife , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she failed to…

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  • Robert Rex, Esq.

Summit Brokerage Services Broker Sanctioned for Borrowing from Customer
Summit Brokerage Services Broker Sanctioned for Borrowing from Customer 150 150 Robert Rex, Esq.

October 15, 2015 – Fredericksburg, VA Jonathan D. Freeze  , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he borrowed $20,000…

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  • Robert Rex, Esq.

Former FINTEGRA Broker Sanctioned by Securities Regulators
Former FINTEGRA Broker Sanctioned by Securities Regulators 150 150 Robert Rex, Esq.

October 12, 2015 – Granger, Indiana Albert Lee Rosebush  , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that Rosebush violated FINRA rules…

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  • Robert Rex, Esq.

Tyler, Texas- Insurance Agent Pleads Guilty to $5.4 Million Ponzi Scheme
Tyler, Texas- Insurance Agent Pleads Guilty to $5.4 Million Ponzi Scheme 150 150 Robert Rex, Esq.

November 19, 2015- Tyler, Texas The FBI announced that Robert B. Hahn of Tyler, TX, pleaded guilty to wire fraud and money laundering in connection with an alleged  fraud he…

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  • Robert Rex, Esq.

Former Newbridge Securities Broker in Pompano Florida Sanctioned by Securities Regulators
Former Newbridge Securities Broker in Pompano Florida Sanctioned by Securities Regulators 150 150 Robert Rex, Esq.

August  2015- Pompano Beach, Florida Walter Paul Priebe , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to notify his…

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  • Robert Rex, Esq.

Heidi Calonge-Bartow and Plant City Florida Insurance Agent Sentenced for Fraud
Heidi Calonge-Bartow and Plant City Florida Insurance Agent Sentenced for Fraud 150 150 Robert Rex, Esq.

November  16, 2015-Tampa, FL According to an FBI Press Release, Heidi Y. Calonge, 34, of Plant City, Florida,  was sentenced to 18 months in federal prison , followed by 6 months…

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  • Robert Rex, Esq.

Phillip Dunwoody Cox- Former Sterne Agee Broker in Atlanta Sanctioned by Regulators
Phillip Dunwoody Cox- Former Sterne Agee Broker in Atlanta Sanctioned by Regulators 150 150 Robert Rex, Esq.

July 24,  2015- Atlanta, Georgia Phillip Dunwoody Cox, Jr.  ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he…

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