• Robert Rex, Esq.

Michael Duch-Kovack Securities Broker-Sanctioned for Sale of Unregistered Oil & Gas Investments
Michael Duch-Kovack Securities Broker-Sanctioned for Sale of Unregistered Oil & Gas Investments 150 150 Robert Rex, Esq.

Aberdeen, South Dakota JUNE 2017 UPDATE–Michael A. Duch discloses two regulatory events and 2 prior customer disputes on his FINRA record. In 3/ 2016 he was fined $2,000 by the…

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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.

Matthew Schomburg-State Farm Agent-Katy, Texas-Sanctioned by Securities Regulator
Matthew Schomburg-State Farm Agent-Katy, Texas-Sanctioned by Securities Regulator 150 150 Robert Rex, Esq.

September 29,  2015- Katy, Texas  Matthew T. Schomburg , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from 11/2010-8/2013 he…

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  • Robert Rex, Esq.

Ameriprise Financial Broker in Plano, TX, Sanctioned by Securities Regulator
Ameriprise Financial Broker in Plano, TX, Sanctioned by Securities Regulator 150 150 Robert Rex, Esq.

September 24,  2015- Plano, Texas  John Joseph Kolinofsky, Jr , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while acting…

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  • Robert Rex, Esq.

Charles Posner-Former Ascendiant Capital Markets Broker Sanctioned by Securities Regulator-Boynton Beach, FL
Charles Posner-Former Ascendiant Capital Markets Broker Sanctioned by Securities Regulator-Boynton Beach, FL 150 150 Robert Rex, Esq.

August 5, 2015- Boynton Beach, Florida Charles Posner , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he willfully failed to…

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  • Robert Rex, Esq.

HSBC Securities Broker Barred From Securities Industry by Regulator
HSBC Securities Broker Barred From Securities Industry by Regulator 150 150 Robert Rex, Esq.

August 6, 2015- Thousand Oaks, CA Gehrin Michael Ortiz , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to disclose…

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  • Robert Rex, Esq.

Former Securities America Broker Sanctioned by Securities Regulator
Former Securities America Broker Sanctioned by Securities Regulator 150 150 Robert Rex, Esq.

August 25, 2015- Redondo Beach, CA Derek Lee Miller , 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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  • Robert Rex, Esq.

Roman T. Luckey- Former Newport Coast Broker Sanctioned for Failing to Detect Churning and Abuse of Customer Accounts
Roman T. Luckey- Former Newport Coast Broker Sanctioned for Failing to Detect Churning and Abuse of Customer Accounts 150 150 Robert Rex, Esq.

August 14,  2015- Long Beach, CA Roman Tyler Luckey, submitted an Offer of Settlement to  the Financial Industry Regulatory Authority (FINRA) to resolve allegations that as Manager of Trading for Newport Coast Securities…

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