• Robert Rex, Esq.

Christian L. Webb-Former LPL Financial Broker-Investigation Update-Lakeway, TX
Christian L. Webb-Former LPL Financial Broker-Investigation Update-Lakeway, TX 150 150 Robert Rex, Esq.

October 2017-Lakeway, Texas According to publicly available records Christian L. Webb , (CRD# 1161075) ,  a  currently unregistered stockbroker who was last registered with Dominion Investors Services of Horseshoe Bay, TX  , discloses a termination…

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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.

Christopher S. Laws-Former BCG Securities Broker-Named in SEC Complaint-Alpharetta, GA
Christopher S. Laws-Former BCG Securities Broker-Named in SEC Complaint-Alpharetta, GA 150 150 Robert Rex, Esq.

Alpharetta, Georgia AUGUST 2017 UPDATE-The Securities and Exchange Commission (SEC) charged Christopher S. Laws and three other Atlanta area brokers with fraudulently inducing federal employees to roll over holdings in…

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  • Robert Rex, Esq.

Securities Regulators Fine 12 Firms over $14 million for Failing to Protect Records
Securities Regulators Fine 12 Firms over $14 million for Failing to Protect Records 150 150 Robert Rex, Esq.

December 2016- Washington In a News Release, the Financial Industry Regulatory Authority (FINRA) announced that the following firms were fined a total of $14.4 million for deficiencies relating to the…

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