• Robert Rex, Esq.

Rex Securities Law Investigates Former VSR Financial Services Broker Gregory Ellis-Baton Rouge, LA
Rex Securities Law Investigates Former VSR Financial Services Broker Gregory Ellis-Baton Rouge, LA 150 150 Robert Rex, Esq.

Baton Rouge, LA Rex Securities Law is investigating former VSR Financial Services broker Gregory M. Ellis  in connection with the sale of various alternative investments including real estate securities, oil and gas securities,…

read more
  • Robert Rex, Esq.

Former VSR Financial Broker Kevin M. Nevin Discloses Pending Customer Dispute-St. Louis Park, MN
Former VSR Financial Broker Kevin M. Nevin Discloses Pending Customer Dispute-St. Louis Park, MN 150 150 Robert Rex, Esq.

Saint Louis Park, MN UPDATE FEBRUARY 2017– IN July 2016 a customer of Nevin’s former employer VSR Financial filed FINRA case 16-1993 alleging fraud and unsuitability in connection with an investment…

read more
  • Robert Rex, Esq.

Michael Griffith-Former NY Life Stockbroker-Barred from Industry for Forgery
Michael Griffith-Former NY Life Stockbroker-Barred from Industry for Forgery 150 150 Robert Rex, Esq.

January 27, 2016- Maryland Michael Roger Griffith entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he submitted two fictitious applications…

read more
  • Robert Rex, Esq.

James Anderson-Former WFG Investments Broker-Sanctioned by Securities Regulator- San Antonio ,TX
James Anderson-Former WFG Investments Broker-Sanctioned by Securities Regulator- San Antonio ,TX 150 150 Robert Rex, Esq.

January 27, 2016- San Antonio, Texas James W. Anderson entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to…

read more
  • Robert Rex, Esq.

NEXT Financial Group FIned $125K on Sales of UITs (Unit Investment Trusts)
NEXT Financial Group FIned $125K on Sales of UITs (Unit Investment Trusts) 150 150 Robert Rex, Esq.

January 27, 2016 – Houston, Texas NEXT Financial Group, Inc.  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from May 1,…

read more
  • Robert Rex, Esq.

Randy Burke Investigation- Former Stockbroker Calton & Associates-Hickory, N. Carolina
Randy Burke Investigation- Former Stockbroker Calton & Associates-Hickory, N. Carolina 150 150 Robert Rex, Esq.

1/25/2016-Hickory, North Carolina Rex Securities Law is investigating former Calton & Associates broker Randy W. Burke. According to his FINRA brokercheck report, Burke was  barred from the securities industry October 2015, to resolve…

read more
  • Robert Rex, Esq.

James Nixon –Former Bridge Capital Associates/ Source Capital Group Stock Broker — Sanctioned by Securities Regulator
James Nixon –Former Bridge Capital Associates/ Source Capital Group Stock Broker — Sanctioned by Securities Regulator 150 150 Robert Rex, Esq.

January 8, 2016- Rowayton, CT James J. Nixon entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with Bridge…

read more
  • Robert Rex, Esq.

Phony “Frontier Disney” Near Dallas Fooled Many Investors
Phony “Frontier Disney” Near Dallas Fooled Many Investors 150 150 Robert Rex, Esq.

January 19, 2015- Dallas, Texas The FBI reports that Thomas W. Lucas, Jr. was such an effective liar that he was able to convince hundreds of investors—even members of his own family—that…

read more
  • Robert Rex, Esq.

John D. Wiswell-American Financial Portfolios Services Broker Sanctioned by Regulators-Stuart, FLA
John D. Wiswell-American Financial Portfolios Services Broker Sanctioned by Regulators-Stuart, FLA 150 150 Robert Rex, Esq.

December 30, 2015- Stuart, Florida John D. Wiswell entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with American…

read more
  • Robert Rex, Esq.

Geoffrey Schiffrin, Finance 500 Broker Sanctioned for Penny Stock Sales
Geoffrey Schiffrin, Finance 500 Broker Sanctioned for Penny Stock Sales 150 150 Robert Rex, Esq.

December 28, 2015- Delray Beach, Florida Geoffrey Schiffrin entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with…

read more
Enter your
text here

You cannot copy content of this page