elder financial abuse

  • Robert Rex, Esq.

Jason N. Anderson, Former LPL Financial Broker- Named in Unauthorized Trading/Churning Suit-Beaumont, TX
Jason N. Anderson, Former LPL Financial Broker- Named in Unauthorized Trading/Churning Suit-Beaumont, TX 150 150 Robert Rex, Esq.

April 2024 – Beaumont, Texas TEXAS STATE SECURITIES BOARD SUSPENSION-On January 30, 2018 Texas Securities State Securities Board (TSSB) Commissioner Travis J. Iles entered a Disciplinary Order  suspending Jason N. Anderson,…

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  • Robert Rex, Esq.

LPL Financial Ordered to Pay $3.7M Over Variable Annuity Sales-Polaris Platinum III
LPL Financial Ordered to Pay $3.7M Over Variable Annuity Sales-Polaris Platinum III 150 150 Robert Rex, Esq.

March 2024 Update– See this for our investigation of LPL and some of their brokers.    UPDATE Jan 2017– LPL Financial  ordered to pay up to $3.7 million in restitution…

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  • Robert Rex, Esq.

Securities Arbitration vs. Securities Mediation
Securities Arbitration vs. Securities Mediation 150 150 Robert Rex, Esq.

  The Financial Industry Regulatory Authority (FINRA) provides the following explanation of the difference between Arbitration and Mediation: “Overview Arbitration and mediation are two distinct ways of resolving securities and…

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  • Robert Rex, Esq.

Certified Financial Planners Board Disciplines 33 Individuals
Certified Financial Planners Board Disciplines 33 Individuals 150 150 Robert Rex, Esq.

September 2022 Sanctions by Certified Financial Planners Board According to their website, the “Certified Financial Planner (CFP) Board is a non-profit organization acting in the public interest by fostering professional standards in…

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  • Robert Rex, Esq.

Intervest International Equities & GWG L-Bonds Losses?
Intervest International Equities & GWG L-Bonds Losses? 150 150 Robert Rex, Esq.

Losses on GWG L-Bonds Purchased From Intervest International Equities?   As we have previously posted, see link ( GWG L-Bonds. We can help ), given the fact that GWG Holdings has…

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  • Robert Rex, Esq.

Centaurus Financial & GWG L-Bonds Losses?
Centaurus Financial & GWG L-Bonds Losses? 150 150 Robert Rex, Esq.

Losses on GWG L-Bonds Purchased From Centaurus Financial?   As we have previously posted, see link ( GWG L-Bonds. We can help ), given the fact that GWG Holdings has recently…

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  • Robert Rex, Esq.

GWG L Bond Losses? How to Recover Damages
GWG L Bond Losses? How to Recover Damages 150 150 Robert Rex, Esq.

GWG Holdings L Bonds Recovery Options For Investors   Did you invest in  GWG L Bonds ?   If you invested in  GWG L Bonds products you should know that…

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  • Robert Rex, Esq.

Sanders Spangler Investigation-Former LPL Financial Broker-Barred From Securities Industry & Settles Customer Suits-San Antonio, TX
Sanders Spangler Investigation-Former LPL Financial Broker-Barred From Securities Industry & Settles Customer Suits-San Antonio, TX 150 150 Robert Rex, Esq.

Sanders Spangler Investigation November 2021-San Antonio, Texas The FINRA records of  Sanders L. Spangler ,   a  former stockbroker who was once employed by  LPL Financial  disclose a regulatory matter, 6 prior customer disputes…

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