• Robert Rex, Esq.

Heidi Calonge-Bartow and Plant City Florida Insurance Agent Sentenced for Fraud
Heidi Calonge-Bartow and Plant City Florida Insurance Agent Sentenced for Fraud 150 150 Robert Rex, Esq.

November  16, 2015-Tampa, FL According to an FBI Press Release, Heidi Y. Calonge, 34, of Plant City, Florida,  was sentenced to 18 months in federal prison , followed by 6 months…

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  • Robert Rex, Esq.

Daniel Levin-Former Titan Securities Broker-Sanctioned for ‘Investment Talk” Radio Show-Dallas, TX
Daniel Levin-Former Titan Securities Broker-Sanctioned for ‘Investment Talk” Radio Show-Dallas, TX 150 150 Robert Rex, Esq.

August 7,  2015- Dallas, Texas  FINRA records disclose that Daniel E. Levin  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations…

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  • Robert Rex, Esq.

Former Robert W Baird Broker -Franklin, TN, Barred From Securities Industry
Former Robert W Baird Broker -Franklin, TN, Barred From Securities Industry 150 150 Robert Rex, Esq.

Patrick L. Garrett ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he intentionally and knowingly misrepresented to a…

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  • Robert Rex, Esq.

Marcus Farquhar-Former 1st Global Capital Broker -Sanctioned by Regulator-Edna, TX
Marcus Farquhar-Former 1st Global Capital Broker -Sanctioned by Regulator-Edna, TX 150 150 Robert Rex, Esq.

August 7, 2015- Edna, Texas Marcus Farquhar ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from April 2013 to…

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  • Robert Rex, Esq.

Phillip Dunwoody Cox- Former Sterne Agee Broker in Atlanta Sanctioned by Regulators
Phillip Dunwoody Cox- Former Sterne Agee Broker in Atlanta Sanctioned by Regulators 150 150 Robert Rex, Esq.

July 24,  2015- Atlanta, Georgia Phillip Dunwoody Cox, Jr.  ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he…

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  • Robert Rex, Esq.

Dallas Based VCA Securities Censured by Securities Regulators
Dallas Based VCA Securities Censured by Securities Regulators 150 150 Robert Rex, Esq.

August 12, 2015- Dallas, Texas VCA Securities  (formerly Bluffview Securities)  , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that…

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  • Robert Rex, Esq.

National Planning Corp. Fined by Regulators for Excessive Sales Charges
National Planning Corp. Fined by Regulators for Excessive Sales Charges 150 150 Robert Rex, Esq.

August 25, 2015- El Segundo, California National Planning Corporation , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from…

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  • Robert Rex, Esq.

J.P. Turner Sanctioned For Excessive Sales Charges
J.P. Turner Sanctioned For Excessive Sales Charges 150 150 Robert Rex, Esq.

August 25, 2015- Atlanta, Georgia J.P. Turner & Company , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from…

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  • Robert Rex, Esq.

Miami Based Investacorp Sanctioned For Excessive Sales Charges on REIT Sales
Miami Based Investacorp Sanctioned For Excessive Sales Charges on REIT Sales 150 150 Robert Rex, Esq.

July 15, 2015- Miami, Florida Investacorp Inc. , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from April 2009…

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  • Robert Rex, Esq.

H. Beck Sanctioned for Failure to Perform Due Diligence In Connection With Sale of Private Placements
H. Beck Sanctioned for Failure to Perform Due Diligence In Connection With Sale of Private Placements 150 150 Robert Rex, Esq.

October 26, 2015- Bethesda, Maryland H. Beck, Inc.  ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between May 2008 and…

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