• Robert Rex, Esq.

Allan Roth of Tampa Arrested in Penny Stock Scam
Allan Roth of Tampa Arrested in Penny Stock Scam 150 150 Robert Rex, Esq.

February 27, 2015-Tampa, Florida The Florida Office of Financial Regulation (OFR) reports that Allan Roth, 57, was arrested on 34 charges of selling unregistered securities and 34 counts of selling securities…

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  • Robert Rex, Esq.

Tarpon Springs Florida Man Arrested for Securities Fraud
Tarpon Springs Florida Man Arrested for Securities Fraud 150 150 Robert Rex, Esq.

March 3, 2015- Tallahassee, Florida The Florida Office of Financial Regulation (OFR) announced that John Edward Simpson was arrested in Tarpon Springs, Florida, and has been charged with securities fraud,…

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  • Robert Rex, Esq.

EDI Financial of Irving, Texas, Sanctioned Over Sale of Private Placements
EDI Financial of Irving, Texas, Sanctioned Over Sale of Private Placements 150 150 Robert Rex, Esq.

February 25, 2015 EDI Financial, Inc.   entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that the company failed to adopt and implement…

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