• Robert Rex, Esq.

Dean Yurica-Former LPL Financial Broke- Fined/Suspended for Falsifying Customer Documents
Dean Yurica-Former LPL Financial Broke- Fined/Suspended for Falsifying Customer Documents 150 150 Robert Rex, Esq.

February 2019-Carmichael, CA Dean M. Yurica  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he  falsified documents related…

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  • Robert Rex, Esq.

Alluvion Securities Hit With Net Capital Violation Suit by Regulators
Alluvion Securities Hit With Net Capital Violation Suit by Regulators 150 150 Robert Rex, Esq.

June 19, 2015 FINRA Department of Enforcement filed  Disciplinary Proceeding No 2013035347704 against Alluvion Securities, LLC, Lowell S. Wilson and John S. Jumper alleging net capital violations, supervisory violations and…

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  • Robert Rex, Esq.

Morgan Stanley Smith Barney Fined $650K for Theft by New Jersey/Fort Lauderdale Brokers
Morgan Stanley Smith Barney Fined $650K for Theft by New Jersey/Fort Lauderdale Brokers 150 150 Robert Rex, Esq.

June 19, 2015 Morgan Stanley Smith Barney  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between June 2009-November…

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  • Robert Rex, Esq.

Former Trident Partners Broker William Quigley Investigation
Former Trident Partners Broker William Quigley Investigation 150 150 Robert Rex, Esq.

May 28,2015 Rex Securities Law is investigating former Trident Partners, Ltd. broker William Michael Quigley. The Securities & Exchange Commission filed an administrative proceeding (File No. 3-16560) against William Michael…

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  • Robert Rex, Esq.

Former Moors & Cabot Broker Sanctioned Over Unauthorized Annuity Advertisements
Former Moors & Cabot Broker Sanctioned Over Unauthorized Annuity Advertisements 150 150 Robert Rex, Esq.

June 18, 2015-Boston, MA Lucian D. Hodgman  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between May and July…

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  • Robert Rex, Esq.

Ausdal Financial Partners Hit With $1.2M Arbitration Award on Variable Annuity
Ausdal Financial Partners Hit With $1.2M Arbitration Award on Variable Annuity 150 150 Robert Rex, Esq.

June 8, 2015-Boston, MA An all public FINRA arbitration panel ordered Ausdal Financial Partners and broker Joan Norton to pay  a customer over $1.2 million on claims of negligence, unsuitability, breach…

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  • Robert Rex, Esq.

First Allied Securities Broker Sanctioned for Sale of Unsuitable Exchange Traded Funds
First Allied Securities Broker Sanctioned for Sale of Unsuitable Exchange Traded Funds 150 150 Robert Rex, Esq.

April 21, 2015 Daniel Grieco  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he recommended and caused…

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  • Robert Rex, Esq.

H.D. Vest Broker Fined/Suspended by Securities Regulators
H.D. Vest Broker Fined/Suspended by Securities Regulators 150 150 Robert Rex, Esq.

June 8, 2015 Susan Cornwall  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she accepted $38,000 from a…

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  • Robert Rex, Esq.

Newbridge Securities Fined by Regulators for Supervision Deficiencies
Newbridge Securities Fined by Regulators for Supervision Deficiencies 150 150 Robert Rex, Esq.

June 10, 2015 Newbridge Securities  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that the firm’s supervisory system did…

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  • Robert Rex, Esq.

Mark A. Bullivant-Former Raymond James Broker- Sanctioned by Securities Regulators
Mark A. Bullivant-Former Raymond James Broker- Sanctioned by Securities Regulators 150 150 Robert Rex, Esq.

June 10, 2015 According to FINRA records, Mark Andrew Bullivant, of Fort Myers, Florida,  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA)…

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