• 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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  • Robert Rex, Esq.

Dylan Grayson- Merrill Lynch Broker in Plano Texas-Barred from Securities Industry
Dylan Grayson- Merrill Lynch Broker in Plano Texas-Barred from Securities Industry 150 150 Robert Rex, Esq.

July 9 , 2015- Plano, Texas Dylan Patrick Grayson ,  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…

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  • Robert Rex, Esq.

Brian Berger Facing Wire Fraud Charges-Coral Springs, FL
Brian Berger Facing Wire Fraud Charges-Coral Springs, FL 150 150 Robert Rex, Esq.

April 2018 UPDATE-Berger pleads guilty. See this for details. UPDATE October 2016-BRIAN BERGER FACES WIRE FRAUD CHARGES. The Sun Sentinel reports that Brian M. Berger, 39, of Coral Springs, pleaded…

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