• Robert Rex, Esq.

GL Capital Partners Former CEO Daniel Thibeault Pleads Guilty to Fraud Charges
GL Capital Partners Former CEO Daniel Thibeault Pleads Guilty to Fraud Charges 150 150 Robert Rex, Esq.

March 14, 2016 The Investment News reports that Daniel Thibeault pleaded guilty to criminal charges that he defrauded fund investors of GL Capital Partners out of $15 million by leading…

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  • Robert Rex, Esq.

Lawrence Miller-Former LPL FInancial Broker-Barred from Industry
Lawrence Miller-Former LPL FInancial Broker-Barred from Industry 150 150 Robert Rex, Esq.

February 11, 2016- Plantation, Florida Lawrence Leslie Miller entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  he refused to provide…

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  • Robert Rex, Esq.

Oklahoma Securities Regulator Orders Houston Based Company to Cease and Desist
Oklahoma Securities Regulator Orders Houston Based Company to Cease and Desist 150 150 Robert Rex, Esq.

March 4, 2016-Oklahoma City, OK The Oklahoma Department of Securities file an Order to Cease and Desist and Notice of Opportunity for Hearing in the matter of Houston-based ThinAir Wireless,…

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  • Robert Rex, Esq.

Kenton Gearhart (Merrill Lynch, Cincinatti) Sanctioned by Securities Regulator
Kenton Gearhart (Merrill Lynch, Cincinatti) Sanctioned by Securities Regulator 150 150 Robert Rex, Esq.

March 10, 2016- Cincinnati, Ohio Kenton K. Gearhart  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  while employed by Merrill…

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  • Robert Rex, Esq.

Raymond James Fined $500,000 by Securities Regulators for Disclosing Nonpublic Customer Information
Raymond James Fined $500,000 by Securities Regulators for Disclosing Nonpublic Customer Information 150 150 Robert Rex, Esq.

February 26, 2016- St. Petersburg, FL Raymond James & Associates and Raymond James Financial Services entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA)…

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  • Robert Rex, Esq.

Keith Chapman-Former VSR Financial Broker-Discloses Customer Dispute-Dallas, Texas
Keith Chapman-Former VSR Financial Broker-Discloses Customer Dispute-Dallas, Texas 150 150 Robert Rex, Esq.

Dallas, Texas Former VSR Financial Services broker Keith E. Chapman of Chapman Wealth Management  discloses a customer dispute related to  the sale of limited partnerships, direct investments, equipment leasing investments and real estate securities. (Alternative…

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  • Robert Rex, Esq.

Gary D. Moore- Former VSR Financial Broker- Investigation- Sarasota, Florida
Gary D. Moore- Former VSR Financial Broker- Investigation- Sarasota, Florida 150 150 Robert Rex, Esq.

Sarasota, Florida Rex Securities Law is investigating former VSR Financial Services broker Gary D. Moore  in connection with the sale of limited partnerships, promissory notes and real estate securities during the time he was employed…

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  • Robert Rex, Esq.

Brian C. Tillotson- Former VSR Financial Broker- Investigation- Southlake, Texas
Brian C. Tillotson- Former VSR Financial Broker- Investigation- Southlake, Texas 150 150 Robert Rex, Esq.

Southlake, Texas Rex Securities Law is investigating former VSR Financial Services broker Brian C. TIllotson (VIrtus Wealth Management) in connection with the sale of unsuitable real estate investments during the time he was employed by…

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  • Robert Rex, Esq.

James R. Kennedy-Former VSR Financial Services Broker Discloses Customer Disputes- Eastland, Texas
James R. Kennedy-Former VSR Financial Services Broker Discloses Customer Disputes- Eastland, Texas 150 150 Robert Rex, Esq.

February 2017- Eastland, Texas Rex Securities Law is investigating former VSR Financial Services broker James Roy Kennedy of the Smart Money Group and Kennedy Financial Services in connection with the sale of unsuitable investments, including real…

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  • Robert Rex, Esq.

Stockbroker Leavitt Sanders has 53 Customer Complaints- Invest Financial Corporation/ Triad -West Point, Georgia
Stockbroker Leavitt Sanders has 53 Customer Complaints- Invest Financial Corporation/ Triad -West Point, Georgia 150 150 Robert Rex, Esq.

February 2019- West Point, Georgia We are investigating Leavitt F. Sanders,  of Leavitt Financial Group, who was a registered stockbroker with the following broker dealers. He is not currently registered…

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