finra arbitration attorney Archives

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/fdf83cd1ed57a0f07270ad756fbea2eb?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/fdf83cd1ed57a0f07270ad756fbea2eb?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…

Robert Rex, Esq.
June 4, 2015

RBC Capital Markets Fined $1 Million Over Sale of Reverse Convertible Investments

RBC Capital Markets Fined $1 Million Over Sale of Reverse Convertible Investments https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 4, 2015 June 4, 2015

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…

Robert Rex, Esq.
June 3, 2015

Royce Simpson-Seabrook Texas Stockbroker-Sanctioned by Securities Regulator

Royce Simpson-Seabrook Texas Stockbroker-Sanctioned by Securities Regulator https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 3, 2015 June 3, 2015

March 11, 2015, Seabrook, Texas Royce O. Simpson, entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to provide written…

Robert Rex, Esq.
June 3, 2015

Leslie King-Plano Texas Stock Broker Sanctioned by Securities Regulator

Leslie King-Plano Texas Stock Broker Sanctioned by Securities Regulator https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 3, 2015 June 3, 2015

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…

Robert Rex, Esq.
June 3, 2015

Barry Brower- Ameriprise–San Antonio, TX, Sanctioned for Discretionary Trading

Barry Brower- Ameriprise–San Antonio, TX, Sanctioned for Discretionary Trading https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 3, 2015 June 3, 2015

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…

Robert Rex, Esq.
June 3, 2015

Texas Lawyer Found Guilty of Stock Fraud Involving ConnectAJet.Com

Texas Lawyer Found Guilty of Stock Fraud Involving ConnectAJet.Com https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 3, 2015 June 3, 2015

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…

Robert Rex, Esq.
June 1, 2015

Plano Texas Businessman Sued by SEC-Fraudulent Oil & Gas Deals

Plano Texas Businessman Sued by SEC-Fraudulent Oil & Gas Deals https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 1, 2015 June 1, 2015

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…

Robert Rex, Esq.
June 1, 2015

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 https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 1, 2015 June 1, 2015

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…