• Robert Rex, Esq.

Daren Dorval Investigation-Legend Securities Broker
Daren Dorval Investigation-Legend Securities Broker 150 150 Robert Rex, Esq.

FINRA records report that Daren Dorval, who has been registered with Legend Securities since 9/2009, is named in a 3 currently pending arbitrations: FINRA Case 15-802 filed by a Florida…

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  • Robert Rex, Esq.

Jason Harris Klabal Investigation-Legend Securities Broker
Jason Harris Klabal Investigation-Legend Securities Broker 150 150 Robert Rex, Esq.

FINRA records report that Jason Harris Klabal, who has been registered with Legend Securities since 8/2011, is named in a currently pending arbitration  (FINRA Case 15-484) by a customer who…

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  • Robert Rex, Esq.

Losses on GTAT ? Recovery Options For Investors
Losses on GTAT ? Recovery Options For Investors 150 150 Robert Rex, Esq.

If you suffered losses on GT Advanced Technologies (GTAT) purchased from Legend Securities we may able to help you recover damages through FINRA arbitration. GT Advanced Technologies which traded at nearly…

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  • Robert Rex, Esq.

Legend Securities Fined $125,000 Over Penny Stock Sales
Legend Securities Fined $125,000 Over Penny Stock Sales 150 150 Robert Rex, Esq.

February 10, 2016 Legend Securities entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from October 2010 to…

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  • Robert Rex, Esq.

Vertical Fund Investment Losses? How to Recover Damages.
Vertical Fund Investment Losses? How to Recover Damages. 150 150 Robert Rex, Esq.

We are investigating options for investors who may have suffered losses as a result of investing in Vertical Fund private placement investments, including the following: Vertical US Recovery Fund  Vertical…

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  • Robert Rex, Esq.

BJ Gallison Sentenced on Pump & Dump Securities Fraud
BJ Gallison Sentenced on Pump & Dump Securities Fraud 150 150 Robert Rex, Esq.

March 18, 2016-San Diego The San Diego Reader reports that B. J. Gallison was sentenced to 18 years in prison for wire fraud and money laundering in connection with an…

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  • Robert Rex, Esq.

Sarah H. Hancock-Securities License Revoked by Texas Regulator-Austin, TX
Sarah H. Hancock-Securities License Revoked by Texas Regulator-Austin, TX 150 150 Robert Rex, Esq.

March 22, 2016-Austin, Texas Texas Securities Commissioner John Morgan revoked the investment adviser representative registration of Sarah Helen Hancock, of Dallas, TX, effective April 15, 2016.  In addition Hancock was…

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  • Robert Rex, Esq.

Morissa Rivo-Signator Investors Broker- Barred From Securities Industry-Boca Raton
Morissa Rivo-Signator Investors Broker- Barred From Securities Industry-Boca Raton 150 150 Robert Rex, Esq.

January 15, 2016-Boca Raton, FL Morissa F. Rivo, formerly a broker with Signator Investors,   entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA)…

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  • Robert Rex, Esq.

Morgan Stanley & Brokers Hit With $34M Arbitration Award-Tampa,FL
Morgan Stanley & Brokers Hit With $34M Arbitration Award-Tampa,FL 150 150 Robert Rex, Esq.

March 22, 2016- Tampa, FL A Financial Industry Regulatory Authority arbitration panel ordered Morgan Stanley and two of its broker to pay $34 million to the estate of Roy M.…

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