• 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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  • Robert Rex, Esq.

Lantana Florida Broker Sanctioned by Securities Regulator
Lantana Florida Broker Sanctioned by Securities Regulator 150 150 Robert Rex, Esq.

July 13, 2015- Lantana, Florida Ingrid M. Batchelor ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she  engaged…

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  • Robert Rex, Esq.

Malcolm J. Babin-Former PFS Investments Broker – Barred by Securities Regulators
Malcolm J. Babin-Former PFS Investments Broker – Barred by Securities Regulators 150 150 Robert Rex, Esq.

July 30, 2015-Baton Rouge, LA According to FINRA records, Malcolm Jamil Babin ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve…

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  • Robert Rex, Esq.

Kuhns Brothers Securities Broker Sanctioned by FINRA
Kuhns Brothers Securities Broker Sanctioned by FINRA 150 150 Robert Rex, Esq.

July 15, 2015- Jeffrey Howard Auerbach ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he violated NASD Rule 3040…

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  • Robert Rex, Esq.

Transamerica Financial Advisors Sanctioned by Securities Regulators
Transamerica Financial Advisors Sanctioned by Securities Regulators 150 150 Robert Rex, Esq.

July 24, 2015- St. Petersburg, Florida Transamerica Financial Advisors (Transamerica)  ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from…

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  • Robert Rex, Esq.

Austin Based NFP Advisor Services Fined $500K by Securities Regulators
Austin Based NFP Advisor Services Fined $500K by Securities Regulators 150 150 Robert Rex, Esq.

July 16, 2015- Dallas Texas NFP Advisor Services ( formerly NFP Securities, Inc.)  ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to…

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  • Robert Rex, Esq.

First Southwest Company Sanctioned by Securities Regulators
First Southwest Company Sanctioned by Securities Regulators 150 150 Robert Rex, Esq.

First Southwest Company ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from August 8, 2012 through April 26,…

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  • Robert Rex, Esq.

Florida Fraudsters Sentenced In Connection with Factoring Scheme
Florida Fraudsters Sentenced In Connection with Factoring Scheme 150 150 Robert Rex, Esq.

November 5, 2015- Orlando, Florida The FBI announced that Brian Newton , age 58, of New Smyrna Beach, FL, was sentenced to 15 years and 8 months and his co-defendant…

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  • Robert Rex, Esq.

Tampa Man Sentenced to 18 Months for Securities Fraud
Tampa Man Sentenced to 18 Months for Securities Fraud 150 150 Robert Rex, Esq.

November 4, 2015- Tampa, Florida The FBI announced that Gignesh Movalia was sentenced to 18 months in prison for operating a $9 million investment fraud scheme involving Facebook stock. Movalia…

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