• 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…

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  • Robert Rex, Esq.

Finance 500 Broker Sanctioned for Penny Stock Violations-Delray Beach, FL
Finance 500 Broker Sanctioned for Penny Stock Violations-Delray Beach, FL 150 150 Robert Rex, Esq.

January 11, 2016 Robert E. Richards entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with Finance 500,…

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  • Robert Rex, Esq.

Finance 500 Broker Sanctioned by Securities Regulators for Failure to Supervise Florida Office
Finance 500 Broker Sanctioned by Securities Regulators for Failure to Supervise Florida Office 150 150 Robert Rex, Esq.

December 29 , 2015 Paul J. Savage entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with Finance…

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  • Robert Rex, Esq.

Larry M. Crabtree-Former WFG Broker Sanctioned by Securities Regulators- Dallas, TX
Larry M. Crabtree-Former WFG Broker Sanctioned by Securities Regulators- Dallas, TX 150 150 Robert Rex, Esq.

December 30 , 2015-Dallas, Texas Larry Michael Crabtree entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with WFG…

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  • Robert Rex, Esq.

Securities Regulators Sanction Ameriprise Broker in Plano, TX
Securities Regulators Sanction Ameriprise Broker in Plano, TX 150 150 Robert Rex, Esq.

December 29 , 2015-Plano, Texas David Lowenthal entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with Ameriprise as a…

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  • Robert Rex, Esq.

Stephens Inc. Sanctioned by Securities Regulators for Mutual Fund Sales Charge Abuse
Stephens Inc. Sanctioned by Securities Regulators for Mutual Fund Sales Charge Abuse 150 150 Robert Rex, Esq.

October 27, 2015 Stephens, Inc.  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that since June 1, 2009, Stephens disadvantaged certain…

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  • Robert Rex, Esq.

GMS Group Sanctioned by Regulators For Failure to Supervise Sale of ETFs
GMS Group Sanctioned by Regulators For Failure to Supervise Sale of ETFs 150 150 Robert Rex, Esq.

October 21, 2015 GMS Group, LLC and Carmine Capone, a general securities sales supervisor employed by GMS Group , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial…

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  • Robert Rex, Esq.

Jason Figueroa-Former GMS Group Broker Discloses $750K Damage Claim-Boca Raton, FL
Jason Figueroa-Former GMS Group Broker Discloses $750K Damage Claim-Boca Raton, FL 150 150 Robert Rex, Esq.

UPDATE APRIL 2017-BOCA RATON, FL–The FINRA records of Jason L. Figueroa disclose that in pending FINRA arbitration case #15-03075 a customer of GMS Group alleges damages of $750,000 for unsuitable…

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  • Robert Rex, Esq.

Fischer, Texas- Caldwell International Securities Named in Complaint by Securities Regulator
Fischer, Texas- Caldwell International Securities Named in Complaint by Securities Regulator 150 150 Robert Rex, Esq.

December 31, 2015- Fischer, Texas On December 31, 2015, the Financial Industry Regulatory Authority  (FINRA) filed a complaint against Caldwell International Securities alleging that firm founder Greg Caldwell and supervisors Paul Jacobs…

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  • Robert Rex, Esq.

FINRA Fines Firms for Violations in 2015
FINRA Fines Firms for Violations in 2015 150 150 Robert Rex, Esq.

January 8, 2015 The Investment News published a summary of the largest penalties handed out in 2015 by the Financial Industry Regulatory Authority (FINRA), which included: Puerto Rican Bonds-A fine…

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