• Robert Rex, Esq.

Austin Money Mangers Ordered to Pay $31 million Restitution on Phony Oil and Gas Deals
Austin Money Mangers Ordered to Pay $31 million Restitution on Phony Oil and Gas Deals 150 150 Robert Rex, Esq.

October 26, 2015- Austin, Texas U.S. Magistrate Mark Lane entered a final judgment in favor of the SEC against four money managers who promoted scam investments in oil and gas…

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  • Robert Rex, Esq.

Bruce Hammonds-Stock Broker from San Antonio/Boerne Texas Sentenced for Securities Fraud
Bruce Hammonds-Stock Broker from San Antonio/Boerne Texas Sentenced for Securities Fraud 150 150 Robert Rex, Esq.

San Antonio, Texas  The FBI announced that former Merrill Lynch broker Bruce E. Hammonds, 50, of San Antonio and Boerne, Texas, was sentenced to 57 months in prison for securities…

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  • Robert Rex, Esq.

Signator Investors Fined $450,000 for Inadequate Supervisory Procedures
Signator Investors Fined $450,000 for Inadequate Supervisory Procedures 150 150 Robert Rex, Esq.

August 13, 2015- Loudon, Tennessee/ Boston, MA Signator Investors, Inc. , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that…

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  • Robert Rex, Esq.

San Antonio Based Braymen, Lambert & Noel Securities Sanctioned by Regulator
San Antonio Based Braymen, Lambert & Noel Securities Sanctioned by Regulator 150 150 Robert Rex, Esq.

August 26, 2015- San Antonio, Texas Braymen, Lambert and Noel Securities (BLNS)  and Shannon Braymen  ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory…

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  • Robert Rex, Esq.

Plano Based Red River Securities & Brian Hardwick Named In Securities Complaint
Plano Based Red River Securities & Brian Hardwick Named In Securities Complaint 150 150 Robert Rex, Esq.

July 27, 2015- Plano, Texas The Financial Industry Regulatory Authority (FINRA) filed a complaint against Plano based Red River Securities and Brian Keith Hardwick alleging that they violated the Securities…

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  • Robert Rex, Esq.

Joseph Charles Schroeder-Wunderlich Securities Broker- Sanctioned by Regulator
Joseph Charles Schroeder-Wunderlich Securities Broker- Sanctioned by Regulator 150 150 Robert Rex, Esq.

July 10, 2015- Dallas, Texas Joseph Charles Schroeder ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he violated NASD…

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  • Robert Rex, Esq.

Port Orange Florida Stock Broker Sanctioned by FINRA
Port Orange Florida Stock Broker Sanctioned by FINRA 150 150 Robert Rex, Esq.

July 24,  2015- Port Orange, Florida Dennis Ray Roberts ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he borrowed…

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  • Robert Rex, Esq.

Hector Perez a/k/a Bruce Johnson Barred From Securities Industry
Hector Perez a/k/a Bruce Johnson Barred From Securities Industry 150 150 Robert Rex, Esq.

July 1, 2015 Hector Perez , a/k/a Bruce Johnson ,  entered into a settlement with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between December 2009 and February 2011, he…

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  • Robert Rex, Esq.

Former NYLife Securities Broker in San Antonio Barred from Industry by Regulators
Former NYLife Securities Broker in San Antonio Barred from Industry by Regulators 150 150 Robert Rex, Esq.

July 2,  2015- San Antonio, Texas Emily A. Pena ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she used personal…

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  • Robert Rex, Esq.

Jose Palacio-Former H.D. Vest Broker-Sanctioned by Regulator-Bradenton,FL
Jose Palacio-Former H.D. Vest Broker-Sanctioned by Regulator-Bradenton,FL 150 150 Robert Rex, Esq.

July 10,  2015- Bradenton, Florida Jose Luis Palacio ,  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 timely…

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