finra arbitration attorney Archives

Robert Rex, Esq.
August 22, 2015

Former Cambridge Investment Research Broker Sanctioned in Connection with FINRA Investigation of Conversion of Funds from Elderly Client

Former Cambridge Investment Research Broker Sanctioned in Connection with FINRA Investigation of Conversion of Funds from Elderly Client 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 August 22, 2015 August 22, 2015

August18, 2015, Glenn Allen Moffitt, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he refused to appear for…

Robert Rex, Esq.
August 20, 2015

Dallas Attorney Sentenced for Investor Fraud in Nue Vodka/Vanguard Vodka Scam

Dallas Attorney Sentenced for Investor Fraud in Nue Vodka/Vanguard Vodka Scam 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 August 20, 2015 August 20, 2015

August 19, 2015- Dallas, Texas Andrew Lee Siegel, 56, a Dallas attorney pleaded guilty to felony offenses involving copyright infringement and investor fraud and was sentenced by US District Judge…

Robert Rex, Esq.
August 18, 2015

Richard Higgins of Stratham New Hampshire Sentenced for Securities Fraud

Richard Higgins of Stratham New Hampshire Sentenced for Securities 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 August 18, 2015 August 18, 2015

August 10, 2015-New Hampshire Richard M. Higgins, of Stratham, New Hampshire was sentenced in Merrimack County Superior Court to serve 5 to 14 years after pleading guilty to one felony…

Robert Rex, Esq.
August 18, 2015

JMP Securities Fined $125,000 Over Failure to Disclose Conflict of Interest

JMP Securities Fined $125,000 Over Failure to Disclose Conflict of Interest 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 August 18, 2015 August 18, 2015

August 17, 2015, JMP Securities LLC, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from January 2010 through…

Robert Rex, Esq.
August 18, 2015

William Blair & Company Fined $350,000 Over Failure to Disclose Conflict of Interest

William Blair & Company Fined $350,000 Over Failure to Disclose Conflict of Interest 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 August 18, 2015 August 18, 2015

August 17, 2015, William Blair & Company, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from January 2010…

Robert Rex, Esq.
August 17, 2015

Austin Antique Dealer Indicted on Securities Fraud–A $21 Million Dollar Silver Set?

Austin Antique Dealer Indicted on Securities Fraud–A $21 Million Dollar Silver Set? 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 August 17, 2015 August 17, 2015

August 4, 2015-Austin, TX According to the Texas State Securities Board, antique dealer Rose Marie O’Reilly was indicted in U.S. District Court for defrauding investors in flamboyant schemes to acquire…

Robert Rex, Esq.
August 17, 2015

Farmers Financial Solutions Broker Sanctioned for Back Dating Insurance Policy

Farmers Financial Solutions Broker Sanctioned for Back Dating Insurance Policy 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 August 17, 2015 August 17, 2015

August 7, 2015, Kevin C. Trost, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he backdated an insurance…

Robert Rex, Esq.
August 17, 2015

Dallas Based VCA Securities Sanctioned by Regulators Over Cyber Security Breach

Dallas Based VCA Securities Sanctioned by Regulators Over Cyber Security Breach 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 August 17, 2015 August 17, 2015

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

Robert Rex, Esq.
August 17, 2015

Signator Investors, Inc. Fined $450,000 for Supervisory Failures

Signator Investors, Inc. Fined $450,000 for Supervisory Failures 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 August 17, 2015 August 17, 2015

August 13, 2015 Signator Investors, Inc. and Gregory J. Mitchell, Agency Compliance Specialist for Signator’s Vienna, Virginia office, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry…

Robert Rex, Esq.
August 14, 2015

Tampa Man Pleads Guilty In Facebook Pre-IPO Scam

Tampa Man Pleads Guilty In Facebook Pre-IPO Scam 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 August 14, 2015 August 14, 2015

August 13, 2015-Tampa, Florida The FBI announced that Gignesh Movalia, 40, of Tampa, pleaded guilty to one could of investment advisor fraud in connection with his operation of the OM…

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