finra arbitration attorney Archives

Robert Rex, Esq.
June 17, 2015

Plant City Florida Insurance Agent Charged with Fraud

Plant City Florida Insurance Agent Charged with 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 June 17, 2015 June 17, 2015

June 16, 2015-Tampa, FL Heidi Y. Calonge, 34, of Plant City, Florida, was charged with bank fraud, wire fraud and mail fraud for allegedly wrongfully taking bonus and commission checks.…

Robert Rex, Esq.
June 16, 2015

Corpus Christi Financial Advisor Indicted for Fraud in Connection with Sale of Investment Contracts

Corpus Christi Financial Advisor Indicted for Fraud in Connection with Sale of Investment Contracts 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 June 16, 2015 June 16, 2015

June 16, 2015-Austin, Texas Kenneth Wayne Graves, a former investment adviser from Corpus Christi has been indicted in Nueces County on fraud and other charges related to the sale of…

Robert Rex, Esq.
June 16, 2015

Regulators Sue Broker for Trying to Inherit $1.8M from Elderly Client with Alzheimer’s

Regulators Sue Broker for Trying to Inherit $1.8M from Elderly Client with Alzheimer’s 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 June 16, 2015 June 16, 2015

June 11, 2015 FINRA Department of Enforcement filed Disciplinary Proceeding No. 2012031181001 against Scottsdale, AZ, broker John Anthony Waszolek alleging that he attempted to have his 81 year old customer…

Robert Rex, Esq.
June 12, 2015

Greenbacker Renewable Energy Company Investigation

Greenbacker Renewable Energy Company Investigation 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 June 12, 2015 June 12, 2015

Greenback Renewable Energy is a publicly registered, non-traded limited liability company formed to acquire, construct and operate income-generating renewable energy projects primarily within North America. While the company has made…

Robert Rex, Esq.
June 11, 2015

Lincoln Nebraska Couple Sentenced for Fraud on Investors

Lincoln Nebraska Couple Sentenced for Fraud on Investors 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 June 11, 2015 June 11, 2015

June 10, 2015-Omaha US Attorney for Nebraska Deborah Gilg announced that Scott Usher, 46, of Lincoln, was sentenced to seven years in prison and ordered to pay over $500,000 in…

Robert Rex, Esq.
June 10, 2015

North Carolina Securities Regulators Pursuing Securities Fraudsters

North Carolina Securities Regulators Pursuing Securities Fraudsters 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 June 10, 2015 June 10, 2015

June 2015 In the June 2015 Newsletter the North Carolina Securities Division announced their involvement in the following cases: Darren Joseph Capote, of Patterson, NY, was indicted on July 11,…

Robert Rex, Esq.
June 10, 2015

North Carolina Securities Regulators Announce Sentencing of Securities Fraudsters

North Carolina Securities Regulators Announce Sentencing of Securities Fraudsters 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 June 10, 2015 June 10, 2015

June 2015-NC Securities Division The North Carolina Securities Division‘s June 2015 Newsletter announced the sentencing of the following individuals for securities related violations: Michael Anthony Jenkins pleaded guilty to three…

Robert Rex, Esq.
June 10, 2015

Alfaro’s San Antonio Based Company Primera Energy Files for Bankruptcy Protection

Alfaro’s San Antonio Based Company Primera Energy Files for Bankruptcy Protection 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 June 10, 2015 June 10, 2015

June 8, 2015-San Antonio, Texas Primera Energy filed for Chapter 11 bankruptcy protection in the U.S. Bankruptcy Court for the Western District of Texas. The filing came a day following…

Robert Rex, Esq.
June 8, 2015

Financial Services Firm CEO Sentenced to 10 Years Prison for Securities Fraud

Financial Services Firm CEO Sentenced to 10 Years Prison 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 June 8, 2015 June 8, 2015

June 4, 2015 Everett C. Miller, 45, of Marlton, New Jersey was sentenced to 120 months in prison after pleading guilty before U.S. District Judge Renee Marie Bumb to one…

Robert Rex, Esq.
June 4, 2015

Richard Ohrn-Boca Raton Broker Sanctioned by Securities Regulators for Converting Customer Funds

Richard Ohrn-Boca Raton Broker Sanctioned by Securities Regulators for Converting Customer Funds 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 June 4, 2015 June 4, 2015

April 28, 2015-Boca Raton, FL Richard Winsor Ohrn , was named in an Order Accepting Offer of Settlement (Order) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while he was…

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