• Robert Rex, Esq.

Greg Smith/Pastor Kirbyjon Caldwell Indicted On Chinese Bond Scam-Shreveport,LA-Houston,TX
Greg Smith/Pastor Kirbyjon Caldwell Indicted On Chinese Bond Scam-Shreveport,LA-Houston,TX 150 150 Robert Rex, Esq.

April 2018-Shreveport, LA Shreveport resident Gregory Alan Smith, 55, and Kirbyjon H. Caldwell, 64, of Houston, TX, were indicted by a federal grand jury in a 13 count indictment for…

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  • Robert Rex, Esq.

Beware of Grandparent Scam-Columbiana, Alabama
Beware of Grandparent Scam-Columbiana, Alabama 150 150 Robert Rex, Esq.

March 2018-Columbiana, Alabama The Alabaster Reporter reports that the Alabaster Police Department is warning elderly local residents to beware of a scam targeting senior citizens. According to the police a…

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  • Robert Rex, Esq.

Joseph L. Cotter-Former NEXT Financial Group Broker-Discloses Fine/Suspension/Termination-Charlotte, N.Carolina
Joseph L. Cotter-Former NEXT Financial Group Broker-Discloses Fine/Suspension/Termination-Charlotte, N.Carolina 150 150 Robert Rex, Esq.

March 2018- Charlotte, N. Carolina The FINRA records of  Joseph L. Cotter  ,  a  stockbroker who is currently not registered and who was last employed by  Petersen Investments disclose a recent regulatory matter resulting…

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  • Robert Rex, Esq.

Christopher Hickman-Former Cetera Advisors Broker-Discloses a Regulatory Event, 7 Customer Disputes -Delray Beach, FL
Christopher Hickman-Former Cetera Advisors Broker-Discloses a Regulatory Event, 7 Customer Disputes -Delray Beach, FL 150 150 Robert Rex, Esq.

May 2019- Delray Beach, FL According to publicly available records Christopher Robert Hickman. (CRD#3267599) , a stockbroker who is not currently registered, and who last was employed by Cetera Advisors , disclose a regulatory event and  seven…

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  • Robert Rex, Esq.

Heidi Wivolin-Former NEXT Financial Group Broker Sentenced to Two Years/ Shawn O’Sullivan Sentenced to 16 Months-Ft. Lauderdale, FL
Heidi Wivolin-Former NEXT Financial Group Broker Sentenced to Two Years/ Shawn O’Sullivan Sentenced to 16 Months-Ft. Lauderdale, FL 150 150 Robert Rex, Esq.

June 20, 2018 UPDATE–Shawn O’Sullivan was sentenced to 16 months in prison followed by 3 years supervised release for his role in the theft which took place in the Manalapan…

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  • Robert Rex, Esq.

Redemption Programs Suspended On Your REIT and LP Investments?
Redemption Programs Suspended On Your REIT and LP Investments? 150 150 Robert Rex, Esq.

If you have tried to redeem investments you made in real estate investment trusts (REITs) or limited partnerships (LPs) recently you may have received the bad news that the redemption…

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  • Robert Rex, Esq.

Melvin Case-Former LPL Financial Broker-Discharged for Failing to Report Pleading Guilty to Exploitation of Aged Adult-Jacksonville, FL
Melvin Case-Former LPL Financial Broker-Discharged for Failing to Report Pleading Guilty to Exploitation of Aged Adult-Jacksonville, FL 150 150 Robert Rex, Esq.

February 2018-Jacksonville, FL According to publicly available records Melvin E. Case  , (CRD# 2393464) ,  a   former stockbroker who last worked for LPL Financial LLC,  discloses that he was recently sanctioned by securities regulators…

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  • Robert Rex, Esq.

Invest in Woodbridge Fund ? How to Recover Your Losses.
Invest in Woodbridge Fund ? How to Recover Your Losses. 150 150 Robert Rex, Esq.

December 2017-Boca Raton, FL According to a complaint filed in MIami, FL, by the Securities and Exchange Commission (SEC), Robert H. Shapiro and a group of unregistered investment companies called…

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  • Robert Rex, Esq.

Study by Regulators Confirms That Elderly Are Most Vulnerable to Financial Abuse/Fraud
Study by Regulators Confirms That Elderly Are Most Vulnerable to Financial Abuse/Fraud 150 150 Robert Rex, Esq.

August 2017 The North American Securities Administrators Association (NASAA) recently released a study showing that financial fraud on the elderly has increased, despite increased awareness and regulatory attempts to protect…

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  • Robert Rex, Esq.

William B. Wyman-Former Royal Alliance Assoc. Broker-Barred From Securities Industry-Palm Bay, FL
William B. Wyman-Former Royal Alliance Assoc. Broker-Barred From Securities Industry-Palm Bay, FL 150 150 Robert Rex, Esq.

April 2017- Palm Bay, FL The FINRA records of  William B. Wyman ,  a  former stockbroker who was  employed by  Royal Alliance Associates disclose a prior regulatory event,  a pending customer dispute, two prior…

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