• Robert Rex, Esq.

Edward A. Horwitz-Western International Securities Broker-Discloses Customer Dispute-Deerfield, IL
Edward A. Horwitz-Western International Securities Broker-Discloses Customer Dispute-Deerfield, IL 150 150 Robert Rex, Esq.

July 2017- Deerfield, IL According to publicly available records Edward Alan Horwitz (CRD#2154232) ,  a  stockbroker currently registered with Western International Securities, Inc., discloses a customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…

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  • Robert Rex, Esq.

Stephen Hatch-Texas Real Estate Investor Sentenced to Five Years on Ponzi Scheme Targeting Christians
Stephen Hatch-Texas Real Estate Investor Sentenced to Five Years on Ponzi Scheme Targeting Christians 150 150 Robert Rex, Esq.

The Arizona Republic reports that Texan Stephen J. Hatch, 68, pleaded guilty to felony fraud and was sentenced to five years for operating a $70 million Ponzi scheme that targeted…

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  • Robert Rex, Esq.

Daniel J. Haugh-PTI Securities & Futures Broker-Discloses Customer Arbitration & Regulatory Sanction-Chicago, IL
Daniel J. Haugh-PTI Securities & Futures Broker-Discloses Customer Arbitration & Regulatory Sanction-Chicago, IL 150 150 Robert Rex, Esq.

Updated January 2019-Chicago According to publicly available records Daniel John Haugh  (CRD#2162854) ,  a  stockbroker who currently is the chief compliance officer of  PTI Securities & Futures , disclose a recent regulatory event…

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  • Robert Rex, Esq.

PTI Securities & Futures Sanctioned by Texas Regulators for Transferring Client Funds Based on Spam Emails-Austin, TX
PTI Securities & Futures Sanctioned by Texas Regulators for Transferring Client Funds Based on Spam Emails-Austin, TX 150 150 Robert Rex, Esq.

June 2017 -Austin, TX The Texas State Securities Board entered a disciplinary order against Chicago-based PTI Securities & Futures for transferring nearly $100,000 from a 75 year old Texan’s IRA…

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  • Robert Rex, Esq.

Judy K Morehead-Former Navarre Beach Chamber CEO-Charged With Securities Fraud-Navarre Beach, AL
Judy K Morehead-Former Navarre Beach Chamber CEO-Charged With Securities Fraud-Navarre Beach, AL 150 150 Robert Rex, Esq.

June 2017-Navarre Beach, Alabama The Alabama Securities Commission announced that Judy Kay Morehead of Henry County, Alabama, turned herself in to the Henry County Jail upon an arrest warrant charging…

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  • Robert Rex, Esq.

Mariva Capital Markets Censured/Fined by Regulator-Miami,FL
Mariva Capital Markets Censured/Fined by Regulator-Miami,FL 150 150 Robert Rex, Esq.

June 2017-Miami, FL According to publicly available records Mariva Capital Markets LLC (CRD#2296303) (“MCM”) ,  a  Miami-based broker dealer who has been a FINRA member since 2013 disclose a recent regulatory event. The…

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  • Robert Rex, Esq.

Ameriprise Financial Ordered to Pay Customer $440K For Making Improper Distributions From Retirement Account
Ameriprise Financial Ordered to Pay Customer $440K For Making Improper Distributions From Retirement Account 150 150 Robert Rex, Esq.

JUNE 2017 A FINRA arbitration panel of three public arbitrators in Omaha, Nebraska ordered Ameriprise Financial Services to pay a customer $440,000 in compensatory damages. The customer alleged breach of…

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  • Robert Rex, Esq.

Wells Fargo Securities Fined $3.25M For Supervisory Deficiencies
Wells Fargo Securities Fined $3.25M For Supervisory Deficiencies 150 150 Robert Rex, Esq.

JUNE 2017 Wells Fargo Securities   entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that they failed to…

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  • Robert Rex, Esq.

Gregg Templeton – Former Oppenheimer & Co. Broker – Discloses $6.75M Customer Dispute – NYC
Gregg Templeton – Former Oppenheimer & Co. Broker – Discloses $6.75M Customer Dispute – NYC 150 150 Robert Rex, Esq.

JUNE 2017- New York, NY According to publicly available records Gregg D. Templeton (CRD#2412775) ,  a  former stockbroker who was previously registered with Oppenheimer & Co., discloses a prior regulatory event, a currently pending…

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  • Robert Rex, Esq.

John  J. Gorman IV-Former Tejas Securities Group Broker-Discloses Regulatory Matter-Austin, TX
John  J. Gorman IV-Former Tejas Securities Group Broker-Discloses Regulatory Matter-Austin, TX 150 150 Robert Rex, Esq.

June 2017- Austin, TX According to publicly available records     John  J. Gorman IV  (CRD#1070636) ,  a  stockbroker who is currently unregistered disclose a currently pending regulatory matter, 3 prior regulatory events,  2…

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