finra arbitration attorney Archives

Robert Rex, Esq.
March 7, 2016

Winston Turner-Former MetLife Broker – Barred from Securities Industry-Sarasota, FL

Winston Turner-Former MetLife Broker – Barred from Securities Industry-Sarasota, FL https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g March 7, 2016 March 7, 2016

UPDATE AUGUST 2016–Winston Turner was permanently barred from the securities industry. According to FINRA records Turner refused to produce significant categories of information requested by FINRA and failed to appear for…

Robert Rex, Esq.
March 7, 2016

Senator Elizabeth Warren Criticizes Wall Street For Inadequately Policing Stock Brokers

Senator Elizabeth Warren Criticizes Wall Street For Inadequately Policing Stock Brokers https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g March 7, 2016 March 7, 2016

March 3, 2016-Washington, DC The Investment News reported that Massachusetts Senator Elizabeth Warren raised doubts during a Senate banking subcommittee hearing about whether FINRA can adequately police itself. Wa During…

Robert Rex, Esq.
March 7, 2016

Stock Broker Sanctioned for Sale of GWG Debentures to Retirees

Stock Broker Sanctioned for Sale of GWG Debentures to Retirees https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g March 7, 2016 March 7, 2016

February 29, 2016- Phoenix, AZ The Financial Industry Regulatory Authority (FINRA) barred Phoenix based broker David Joseph Escarcega for making unsuitable recommendations involving debentures to customers, many of whom were…

Robert Rex, Esq.
March 7, 2016

Hillsboro Beach Florida Man Pleads Guilty to Conspiracy to Commit Wire and Mail Fraud

Hillsboro Beach Florida Man Pleads Guilty to Conspiracy to Commit Wire and Mail Fraud https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g March 7, 2016 March 7, 2016

February 29, 2016- Miami, Florida The Sun Sentinel reports that Thomas A. Guerriero, 39, of Hillsboro Beach, FL, pleaded guilty to one count of conspiring to commit mail and wire…

Robert Rex, Esq.
February 24, 2016

Anthony Diaz-Former IBN Financial Broker-Discloses 50 Customer Complaints

Anthony Diaz-Former IBN Financial Broker-Discloses 50 Customer Complaints https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g February 24, 2016 February 24, 2016

Scotrun, PA UPDATE January 2020– Anthony Diaz discloses a total of 50 customer complaints, 3 of which are still pending. UPDATE APRIL 2017-The New Jersey Bureau of Securities revoked Anthony…

Robert Rex, Esq.
February 24, 2016

David McQueen’s Conviction/30 Year Sentence on Ponzi Scheme Upheld

David McQueen’s Conviction/30 Year Sentence on Ponzi Scheme Upheld https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g February 24, 2016 February 24, 2016

1/21/2016- Grand Rapids, MI David McQueen‘s conviction and 30 year prison sentence for mail fraud, money laundering and tax charges was upheld by the Sixth Circuit Court of Appeals in Cincinnati.…

Robert Rex, Esq.
February 23, 2016

Larry & Dixie Masino Convicted in Bingo Related Fraud Scheme-Fort Walton Beach, FL

Larry & Dixie Masino Convicted in Bingo Related Fraud Scheme-Fort Walton Beach, FL https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g February 23, 2016 February 23, 2016

UPDATE FEBRUARY 2018-The Pensacola News Journal reports that Larry Masino and Dixie Masino were convicted of wire fraud conspiracy, operating an illegal gambling business and money laundering conspiracy. According to…

Robert Rex, Esq.
February 22, 2016

How To Recover Losses on United Development Funding Investments.

How To Recover Losses on United Development Funding Investments. https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g February 22, 2016 February 22, 2016

February 22, 2016 United Development Funding IV announced today in a filing with the Securities & Exchange Commission that the FBI raided their office in Grapevine last week and that…

Robert Rex, Esq.
February 22, 2016

LPL FIned $95,000 by Texas State Securities Board for $2 Million Loan to Broker by Customer

LPL FIned $95,000 by Texas State Securities Board for $2 Million Loan to Broker by Customer https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g February 22, 2016 February 22, 2016

February 18, 2016- The Texas State Securities Board reprimanded LPL Financial and ordered the company to pay a $95,000 fine for supervisory failures that led to one of their brokers…

Robert Rex, Esq.
February 22, 2016

Brokerage Firm Rankings by Total Revenue-2015- The Investment News

Brokerage Firm Rankings by Total Revenue-2015- The Investment News https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g February 22, 2016 February 22, 2016

February 22, 2016 The Investment News recently announced 2015 Broker Dealer rankings, by Total Revenue. Firm Total revenue ▼ 1 LPL Financial LLC $4,293,898,569 2 Ameriprise Financial Services Inc. $3,738,344,789…

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