• Robert Rex, Esq.

Larry Werbel Indicted For Securities Fraud & Ordered to Pay $100,000 by FINRA Arbitrators- In the Same Week
Larry Werbel Indicted For Securities Fraud & Ordered to Pay $100,000 by FINRA Arbitrators- In the Same Week 150 150 Robert Rex, Esq.

February 24, 2016- Cleveland, Ohio A Financial Industry Regulatory Authority (FINRA) arbitration panel ordered former Summit Brokerage Services stockbroker Larry Werbel , who operated Evolution Partners Wealth Management of Chagrin Falls,…

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  • Robert Rex, Esq.

Lawrence Miller-Former LPL FInancial Broker-Barred from Industry
Lawrence Miller-Former LPL FInancial Broker-Barred from Industry 150 150 Robert Rex, Esq.

February 11, 2016- Plantation, Florida Lawrence Leslie Miller entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  he refused to provide…

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  • Robert Rex, Esq.

LPL FIned $95,000 by Texas State Securities Board for $2 Million Loan to Broker by Customer
LPL FIned $95,000 by Texas State Securities Board for $2 Million Loan to Broker by Customer 150 150 Robert Rex, Esq.

February 18, 2016- The Texas State Securities Board reprimanded LPL Financial and ordered the company to pay a $95,000 fine for supervisory failures that led to one of their brokers…

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  • Robert Rex, Esq.

Former LPL Financial/H.D. Vest Broker Sanctioned by Securities Regulator-Hollywood, FLA
Former LPL Financial/H.D. Vest Broker Sanctioned by Securities Regulator-Hollywood, FLA 150 150 Robert Rex, Esq.

November 3 , 2015 Daniel Kasbar  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 documents and information…

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  • Robert Rex, Esq.

FINRA Fines Firms for Violations in 2015
FINRA Fines Firms for Violations in 2015 150 150 Robert Rex, Esq.

January 8, 2015 The Investment News published a summary of the largest penalties handed out in 2015 by the Financial Industry Regulatory Authority (FINRA), which included: Puerto Rican Bonds-A fine…

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  • Robert Rex, Esq.

LPL Financial Stock Broker Barred from Industry Following Allegations that Funds Were Improperly Taken
LPL Financial Stock Broker Barred from Industry Following Allegations that Funds Were Improperly Taken 150 150 Robert Rex, Esq.

October 7, 2015-Fishers, IN Barbara D. Fife , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she failed to…

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  • Robert Rex, Esq.

Summit Brokerage Services Broker Sanctioned for Borrowing from Customer
Summit Brokerage Services Broker Sanctioned for Borrowing from Customer 150 150 Robert Rex, Esq.

October 15, 2015 – Fredericksburg, VA Jonathan D. Freeze  , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he borrowed $20,000…

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  • Robert Rex, Esq.

Garrett “Drew” Ahrens- Former LPL Financial Broker-Discloses Sanction and Settlements Over REIT Investments-Lafayette, LA
Garrett “Drew” Ahrens- Former LPL Financial Broker-Discloses Sanction and Settlements Over REIT Investments-Lafayette, LA 150 150 Robert Rex, Esq.

May 2017- Lafayette, Louisiana Garrett A. Ahrens  (aka Drew Ahrens) , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between…

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  • Robert Rex, Esq.

Former LPL Financial/Essex National Securities Broker Sanctioned by Regulator-Cape Coral, FL
Former LPL Financial/Essex National Securities Broker Sanctioned by Regulator-Cape Coral, FL 150 150 Robert Rex, Esq.

September 21,  2015- Cape Coral, Florida Edward K. Roos , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from April…

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  • Robert Rex, Esq.

Former Cambridge Investment Research Broker Barred From Industry In Connection Alleged Theft of Funds
Former Cambridge Investment Research Broker Barred From Industry In Connection Alleged Theft of Funds 150 150 Robert Rex, Esq.

August 18, 2015- Henderson, Nevada Glenn Allen Moffitt  , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to…

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