• Robert Rex, Esq.

Ian Greenblatt-Capitol Securities Management Broker-Discloses Regulatory Suspension and Settlement of Customer Dispute-Melville, NY
Ian Greenblatt-Capitol Securities Management Broker-Discloses Regulatory Suspension and Settlement of Customer Dispute-Melville, NY 150 150 Robert Rex, Esq.

December 2018-Melville, New York According to publicly available records   Ian Greenblatt (aka Eric Green)  , a  stockbroker who is currently registered with Capitol Securities Management Inc.  disclose a recent regulatory suspension & fine…

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  • Robert Rex, Esq.

Alex G. Herrera-Former UBS Broker-Accused of Stealing Client Money in $7M Investor Suit-Coral Gables, FL
Alex G. Herrera-Former UBS Broker-Accused of Stealing Client Money in $7M Investor Suit-Coral Gables, FL 150 150 Robert Rex, Esq.

March 2019 – Coral Gables, FL According to FINRA records,  Alex Gerardo Herrera,   a former stockbroker who  last worked for USB Financial Services,  discloses 2 prior regulatory events , a current customer dispute…

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  • Robert Rex, Esq.

Nicholas R. Radke-Lake Oswego Financial Advisor-Subject of $500K Elder Abuse/Fraud Suit-Klamath County, Oregon
Nicholas R. Radke-Lake Oswego Financial Advisor-Subject of $500K Elder Abuse/Fraud Suit-Klamath County, Oregon 150 150 Robert Rex, Esq.

August 2018-Klamath County, Oregon According to the Herald & News a lawsuit has been filed by the estate of a former resident of Bly, Oregon,  against American Independent Securities Group…

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  • Robert Rex, Esq.

Charles Lawrence-Former R.F. Lafferty Broker-Barred From Industry For Exploitation of Elderly Customer- Palm Harbor, FL
Charles Lawrence-Former R.F. Lafferty Broker-Barred From Industry For Exploitation of Elderly Customer- Palm Harbor, FL 150 150 Robert Rex, Esq.

January 2020 -Palm Harbor, Florida The FINRA records of  Charles Joseph Lawrence,  a  former stockbroker who was last employed by  R. F. Lafferty & Co.  disclose a final regulatory matter resulting…

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  • Robert Rex, Esq.

Sonya Camarco-Former LPL Financial Broker-Charged With Securities Fraud/Theft-Colorado Springs, CO
Sonya Camarco-Former LPL Financial Broker-Charged With Securities Fraud/Theft-Colorado Springs, CO 150 150 Robert Rex, Esq.

May 2018-Colorado Springs, CO The FINRA records of  Sonya D. Camarco ,   a   former LPL FInancial broker was recently permanently barred from the securities industry by FINRA for failing to respond to…

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  • Robert Rex, Esq.

LPL Financial to Pay $26M to Resolve Regulatory Investigation
LPL Financial to Pay $26M to Resolve Regulatory Investigation 150 150 Robert Rex, Esq.

May 2018 The North American Securities Administrators Association (NASAA) announced that a settlement has been reached between state securities regulators and LPL Finanical requiring LPL Finanical to repurchase from investors…

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  • Robert Rex, Esq.

Want to Sell Your Alternative Investments? Want to Recover Losses on REIT Investments?
Want to Sell Your Alternative Investments? Want to Recover Losses on REIT Investments? 150 150 Robert Rex, Esq.

April 2018 Investors owning non publicly traded alternative investments, such as real estate investment trusts (REITs) and oil and gas partnerships may not have been aware of the meaning of illiquid…

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  • Robert Rex, Esq.

Losses on Triloma Funds ? Options for Recovery.
Losses on Triloma Funds ? Options for Recovery. 150 150 Robert Rex, Esq.

April 2018 Investors who have suffered losses on investments in the Triloma EIG Energy Income Fund or the Triloma Energy Income Fund  EIG Term 1, may be  able to recover…

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  • Robert Rex, Esq.

Brian Berger-Former Newbridge Securities Broker-Sentenced for Fraud-Boca Raton, FL
Brian Berger-Former Newbridge Securities Broker-Sentenced for Fraud-Boca Raton, FL 150 150 Robert Rex, Esq.

April 2018-Boca Raton, FL The FINRA records of former stockbroker Brian M. Berger disclose a pending regulatory matter and two prior regulatory matters, a criminal conviction, 4 customer disputes and…

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  • Robert Rex, Esq.

Losses on EV Energy Partners ? You May be Entitled to Damages.
Losses on EV Energy Partners ? You May be Entitled to Damages. 150 150 Robert Rex, Esq.

April 2, 2018 Houston based EV Energy Partners, L P (EVEP) , an oil and gas master limited partnership (MLP) has filed for Chapter 11 bankruptcy protection. According to a…

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