recover investment losses Archives

Robert Rex, Esq.
September 21, 2015

FEF Distributors and First Eagle Investment Management Charged by SEC with Making Improper Payments

FEF Distributors and First Eagle Investment Management Charged by SEC with Making Improper Payments https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g September 21, 2015 September 21, 2015

September 21 2015- Washington DC First Eagle Investment Management and FEF Distributors was charged by the US Securities and Exchange Commission with improperly using mutual fund assets to pay for…

Robert Rex, Esq.
September 20, 2015

Collins Street Bakery-Corsicana- $16M Embezzlement Nets Ten Year Sentence for Former Exec.

Collins Street Bakery-Corsicana- $16M Embezzlement Nets Ten Year Sentence for Former Exec. https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g September 20, 2015 September 20, 2015

September 16, 2015- Dallas/Corsicana, Texas The FBI announced that Sandy Jenkins and his wife, Kay Jenkins, were sentenced on felony charges of embezzlement for stealing $16 million dollars from the…

Robert Rex, Esq.
September 20, 2015

South Florida Men Named in Alleged Commodities Scam by Regulators

South Florida Men Named in Alleged Commodities Scam by Regulators https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g September 20, 2015 September 20, 2015

September 17, 2015 The U S Commodity Futures Trading Commission (CFTC) announced the filing of an enforcement action in US District Court for the Southern District of Florida against: Mintco…

Robert Rex, Esq.
September 20, 2015

Garrett Ahrens, Former LPL Financial Broker Receives Notice of Investigation by Securities Regulator

Garrett Ahrens, Former LPL Financial Broker Receives Notice of Investigation by Securities Regulator https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g September 20, 2015 September 20, 2015

September 18, 2015- Lafayette, Lousiana The Investment News reports that Garrett Andrew Ahrens, a broker ranked as one of the top advisers in Louisiana by Barron’s, with assets under management…

Robert Rex, Esq.
September 16, 2015

Global Arena Capital Brokers Sanctioned by Securities Regulators

Global Arena Capital Brokers Sanctioned by Securities Regulators https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g September 16, 2015 September 16, 2015

September 15, 2015- Washington, D.C. In a news release the Financial Industry Regulatory Authority (FINRA) announced finding numerous securities violations, including making misleading sales pitches and account churning at the…

Robert Rex, Esq.
September 16, 2015

NEXT Financial Group May Be Sold According to Investment News

NEXT Financial Group May Be Sold According to Investment News https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g September 16, 2015 September 16, 2015

September 11, 2015 The Investment News reports that NEXT Financial Group, Inc. , a Houston based brokerage firm founded in 1999, is up for sale. NEXT Financial has over 700…

Robert Rex, Esq.
September 16, 2015

Bankrate Inc. of North Palm Beach, Florida Fined $15 Million by Securities Regulator

Bankrate Inc. of North Palm Beach, Florida Fined $15 Million by Securities Regulator https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g September 16, 2015 September 16, 2015

September 8, 2015- North Palm Beach, Florida Bankrate Inc (RATE.N) resolved an action filed by the U.S. Securities and Exchange Commission that it engaged in accounting fraud to ensure that…

Robert Rex, Esq.
September 9, 2015

San Antonio Business Woman Sentenced to 7 Years for Wire Fraud

San Antonio Business Woman Sentenced to 7 Years for Wire Fraud https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g September 9, 2015 September 9, 2015

August 25, 2015- San Antonio, Texas Lea Ann Blystone, 48, of San Antonio was sentenced to seven years in federal prison in connection with a $1.4 million wire fraud scheme.…

Robert Rex, Esq.
September 9, 2015

Plano Texas Man Sentenced to 210 Months in Federal Prison for Phony Walt Disney Development Scam

Plano Texas Man Sentenced to 210 Months in Federal Prison for Phony Walt Disney Development Scam https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g September 9, 2015 September 9, 2015

September 1, 2015- Sherman, Texas Thomas W. Lucas, Jr. , 35 of Plano, Texas was sentenced to 210 months in federal prison following his conviction on 7 counts of wire…

Robert Rex, Esq.
September 9, 2015

Dallas-Based WFG Investments Fined $175,000 by Texas State Securities Board

Dallas-Based WFG Investments Fined $175,000 by Texas State Securities Board https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g September 9, 2015 September 9, 2015

September 4, 2015- Austin, Texas Texas Securities Commissioner John Morgan entered a Disciplinary Order against Dallas based WFG Investments, Inc. , reprimanding and fining the company $175,000 for failing to…

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