• Robert Rex, Esq.

RBC Capital Markets Fined $1 Million Over Sale of Reverse Convertible Investments
RBC Capital Markets Fined $1 Million Over Sale of Reverse Convertible Investments 150 150 Robert Rex, Esq.

April 23, 2015 RBC Capital Markets ,  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  from 2008 through 2012 the firm…

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  • Robert Rex, Esq.

Leslie King-Plano Texas Stock Broker Sanctioned by Securities Regulator
Leslie King-Plano Texas Stock Broker Sanctioned by Securities Regulator 150 150 Robert Rex, Esq.

March 24, 2015, Plano, Texas  Leslie Lynn King   entered into an Order Accepting Offer of Settlement (Order) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he aided and abetted a…

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  • Robert Rex, Esq.

Barry Brower- Ameriprise–San Antonio, TX, Sanctioned for Discretionary Trading
Barry Brower- Ameriprise–San Antonio, TX, Sanctioned for Discretionary Trading 150 150 Robert Rex, Esq.

UPDATE-March 24, 2016 Barry S. Brower is not currently registered with any broker dealer.   Our Original Post–March 6, 2015,  Fair Oaks Ranch, Texas  Barry S. Brower,  entered into a Letter of…

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  • Robert Rex, Esq.

Texas Lawyer Found Guilty of Stock Fraud Involving ConnectAJet.Com
Texas Lawyer Found Guilty of Stock Fraud Involving ConnectAJet.Com 150 150 Robert Rex, Esq.

June 1, 2015 A federal jury in the Northern District of Texas found Martin Cantu, a lawyer from Round Rock, Texas, guilty of two criminal charges in connection with an…

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  • Robert Rex, Esq.

Plano Texas Businessman Sued by SEC-Fraudulent Oil & Gas Deals
Plano Texas Businessman Sued by SEC-Fraudulent Oil & Gas Deals 150 150 Robert Rex, Esq.

June 1 , 2015-Murphy,  Texas The Securities and Exchange Commission sued Sameer Praveen Sethi and his company Sethi Petroleum alleging that since January 2014, Sethi and his company raise $4…

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  • Robert Rex, Esq.

Frank Dettenrieder, Former First Allied Securities Broker-San Miguel de Allende, Investigated by Rex Securities Law
Frank Dettenrieder, Former First Allied Securities Broker-San Miguel de Allende, Investigated by Rex Securities Law 150 150 Robert Rex, Esq.

June 1, 2015-San Miguel de Allende, Mexico  Rex Securities Law is investigating Frank Nicholas Dettenrieder who was formerly a stock broker with First Allied Securities from December 2008 until July 2013 when…

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  • Robert Rex, Esq.

Phony Texas Financial Advisor Named by SEC For Scamming Military and Veterans
Phony Texas Financial Advisor Named by SEC For Scamming Military and Veterans 150 150 Robert Rex, Esq.

April 14, 2015-Fort Hood, Texas Leroy Brown, Jr. was named in a complaint filed by the Securities and Exchange Commission (SEC) alleging fraud and accusing Brown of telling false tales…

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  • Robert Rex, Esq.

Former PrimeSolutions Securities Broker Named in Suit By SEC
Former PrimeSolutions Securities Broker Named in Suit By SEC 150 150 Robert Rex, Esq.

Richfield, Ohio-April 15, 2015 Jerry A. Cicolani, 51, was charged in a criminal information with selling unregistered securities in KGTA Petroleum, Ltd., causing dozens of investors to lose over $7…

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  • Robert Rex, Esq.

Boca Raton Boiler Room Targeting Elderly Citizens Shut Down By Securities Regulator
Boca Raton Boiler Room Targeting Elderly Citizens Shut Down By Securities Regulator 150 150 Robert Rex, Esq.

April 9, 2015-Boca Raton, FL The Securities and Exchange Commission (SEC) announced the filing of fraud charges against the operators of a microcap/boiler room scheme in South Florida. Three of…

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  • Robert Rex, Esq.

Stafford Maxwell -Mableton Georgia CEO of Millenium Capital Exchange-Arrested for Ponzi Scheme
Stafford Maxwell -Mableton Georgia CEO of Millenium Capital Exchange-Arrested for Ponzi Scheme 150 150 Robert Rex, Esq.

April 3, 2015- Atlanta Stafford S. Maxwell, 46, of Mableton, Georgia,  was arraigned on charges of orchestrating a multi-million dollar Ponzi scheme involving the foreign exchange market through his company…

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