• Robert Rex, Esq.

Daniel Cabrera-BBVA Securities-Discloses Settlement Over Annuity Sales
Daniel Cabrera-BBVA Securities-Discloses Settlement Over Annuity Sales 150 150 Robert Rex, Esq.

September 2016-Helotes, Texas The FINRA records of  Daniel A. Cabrera,  a  stockbroker who is currently employed by  BBVA Securities  disclose a prior customer dispute that was settled. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses…

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  • Robert Rex, Esq.

Gregory Bauer-Former H. Beck Broker-Barred from Securities Industry for Theft
Gregory Bauer-Former H. Beck Broker-Barred from Securities Industry for Theft 150 150 Robert Rex, Esq.

October 2016-Moon Township, PA The FINRA records of  Gregory R. Bauer,  a  former stockbroker who most recently was  employed by  H. Beck, Inc.  disclose a final regulatory event and a termination from employment. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Old Security Financial Group of Spring, Texas, Fined $100,000 by Securities Regulators
Old Security Financial Group of Spring, Texas, Fined $100,000 by Securities Regulators 150 150 Robert Rex, Esq.

October 2016- Spring, Texas The Texas State Securities Board (TSSB) sanctioned  Old Security Financial Group, Inc. of Spring, Texas,  fining the company $100,000 for selling unregistered investments in a mortgage note…

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  • Robert Rex, Esq.

San Antonio Based Investment Adviser Sanctioned by Texas Regulators
San Antonio Based Investment Adviser Sanctioned by Texas Regulators 150 150 Robert Rex, Esq.

September 2016- San Antonio, Texas The Texas State Securities Board (TSSB) sanctioned San Antonio investment adviser firm Rubicon Investment Management & Analytics and barred its president Michael Yves Heridia from…

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  • Robert Rex, Esq.

Billy Fox-First Allied Securities Broker-Discloses Pending Customer Dispute-Austin, TX
Billy Fox-First Allied Securities Broker-Discloses Pending Customer Dispute-Austin, TX 150 150 Robert Rex, Esq.

February 2020-Austin, Texas The FINRA records of  William F.  “Billy” Fox,  a  stockbroker who is currently employed by  First Allied Securities  disclose 2 prior customer disputes that are final and one currently pending…

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  • Robert Rex, Esq.

Barry M. Kiront-Craft Capital Management Broker Discloses 10 Customer Disputes-Garden City, NY
Barry M. Kiront-Craft Capital Management Broker Discloses 10 Customer Disputes-Garden City, NY 150 150 Robert Rex, Esq.

APRIL 2018 UPDATE–Barry Kiron’ts FINRA record currently discloses 13 prior customer disputes. October 2016-Garden City, NY The FINRA records of  Barry M. Kiront,  a  stockbroker who is currently employed by  Craft Capital Management  disclose 10 prior…

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  • Robert Rex, Esq.

Jens Pinkernell Suspended by Texas Securities Regulators-Gunter, TX
Jens Pinkernell Suspended by Texas Securities Regulators-Gunter, TX 150 150 Robert Rex, Esq.

October 2016-Gunter, Texas The Texas State Securities Board (TSSB)  entered an order suspending the investment adviser registration of Jens Pinkernell and his company J. Pinkernell Global Wealth, LLC for five years.…

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  • Robert Rex, Esq.

Investors Capital Corporation Fined $250,000 by Securities Regulators
Investors Capital Corporation Fined $250,000 by Securities Regulators 150 150 Robert Rex, Esq.

October 2014 The FINRA records of  Investors Capital Corp.,  a  broker dealer headquartered in Lynnfield, MA,  that employs about 640 people in 313 branch offices nationwide, disclose a recent regulatory matter. The…

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  • Robert Rex, Esq.

Texas State Securities Board Fines Stephen Scheurer-Bee Cave, TX
Texas State Securities Board Fines Stephen Scheurer-Bee Cave, TX 150 150 Robert Rex, Esq.

September 2016-Bee Cave, Texas The FINRA records of  Stephen M. Scheurer,  a  stockbroker who was formerly employed by  Century Securities Associates  disclose a recent regulatory event with the Texas State Securities Board,  2 prior finalized customer…

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  • Robert Rex, Esq.

Texas State Securities Board Fines Charles Schwab & Co. $95,000
Texas State Securities Board Fines Charles Schwab & Co. $95,000 150 150 Robert Rex, Esq.

  September 2016- Austin, Texas Charles Schwab & Co. entered into a Consent Order with the Texas State Securities Board (TSSB) and agreed to pay an administrative fine of $95,000 as…

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