Former MML Investors Services Broker From Neptune Beach, FL, Arrested in Iowa for Forgery & Theft

Former MML Investors Services Broker From Neptune Beach, FL, Arrested in Iowa for Forgery & Theft 150 150 Robert Rex, Esq.

July 1, 2015 The Financial Industry Regulatory Authority (FINRA) entered a default decision against Jeffrey Alan Stewart barring him from associating with any FINRA member in any capacity for converting…

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Former Cambridge Investment Research Broker Sanctioned in Connection with FINRA Investigation of Conversion of Funds from Elderly Client

Former Cambridge Investment Research Broker Sanctioned in Connection with FINRA Investigation of Conversion of Funds from Elderly Client 150 150 Robert Rex, Esq.

August18, 2015, Glenn Allen Moffitt,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he refused to appear for…

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Brian Berger-Fort Lauderdale Stockbroker Fails to Cooperate with Investigation Alleging Theft from Elderly Client-Is Barred from Industry

Brian Berger-Fort Lauderdale Stockbroker Fails to Cooperate with Investigation Alleging Theft from Elderly Client-Is Barred from Industry 150 150 Robert Rex, Esq.

April 2018 Update-Berger pleads guilty to fraud.  July 30, 2015 Brian Michael Berger of Fort Lauderdale, FL, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry…

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Eight South Florida Individuals Charged with Securities Fraud Targeting Elderly

Eight South Florida Individuals Charged with Securities Fraud Targeting Elderly 150 150 Robert Rex, Esq.

July 27, 2015- Boca Raton, Florida The FBI announced today the indictment of eight individuals for participating in securities fraud involving Thought Development Inc., a Miami Beach based company claiming…

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South Carolina Securities Division Hosts Investor Education Seminar–Wednesday August 19th, 2015

South Carolina Securities Division Hosts Investor Education Seminar–Wednesday August 19th, 2015 150 150 Robert Rex, Esq.

August 10, 2015-Darlington, South Carolina The South Carolina Office of the Attorney General, Securities Division is hosting a public investor education seminar at noon, Wednesday, August 19th, 2015. Topics to…

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John Waszolek-Former Raymond James Broker-Barred From Industry For Unethical Behavior With Elderly Client

John Waszolek-Former Raymond James Broker-Barred From Industry For Unethical Behavior With Elderly Client 150 150 Robert Rex, Esq.

July 13, 2015-Scottsdale, AZ John Anthony Waszolek  entered into an Order Accepting Offer of Settlement (Order) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that accepted appointment as trustee and…

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Ascendiant Capital Markets Sanctioned by Securities Regulator

Ascendiant Capital Markets Sanctioned by Securities Regulator 150 150 Robert Rex, Esq.

June 25, 2015 Ascendiant Capital Markets entered into an Order Accepting Offer of Settlement  (Order) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that the company violated FINRA By-Laws,…

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Losses on F-Squared Investments (Good Harbor Financial US Tactical Core & AlphaSector Allocator Select) May be Recoverable

Losses on F-Squared Investments (Good Harbor Financial US Tactical Core & AlphaSector Allocator Select) May be Recoverable 150 150 Robert Rex, Esq.

July 8, 2015 F-Squared Investments, Inc, an exchange-traded fund manager,  filed for Chapter 11 bankruptcy protection in the U.S. Bankruptcy Court for the District of Delaware. In December of 2014,…

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FINRA Arbitrators Order BNP Paribas to Pay Customer over $16 Million

FINRA Arbitrators Order BNP Paribas to Pay Customer over $16 Million 150 150 Robert Rex, Esq.

June 23, 2015- New York A FINRA arbitration panel ordered BNP Paribas Securities Corp. to pay a former customer over $16 million dollars for the sale and marketing of an unsuitable…

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SEC Issues Investor Alert: Five Red Flags of Investment Fraud

SEC Issues Investor Alert: Five Red Flags of Investment Fraud 150 150 Robert Rex, Esq.

June 15, 2015 The U.S. Securities and Exchange Commission Office of Investor Education issued an Investor Alert pointing out the Five Red Flags of Investment Fraud: Promises of High Returns…

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