recover investment losses Archives

Robert Rex, Esq.
August 5, 2015

J.P. Turner to Shut Down, Most Brokers Headed to Summit Brokerage Services

J.P. Turner to Shut Down, Most Brokers Headed to Summit Brokerage Services 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 August 5, 2015 August 5, 2015

July 30, 2015 The Investment News reports that brokerage firm J.P. Turner is being closed down and that about half of its 300 brokers have been invited to join Summit…

Robert Rex, Esq.
July 17, 2015

Former Cetera Financial Broker in Coral Springs Sanctioned by Securities Regulator

Former Cetera Financial Broker in Coral Springs Sanctioned 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 July 17, 2015 July 17, 2015

July 13, 2015 Ingrid Bachelor entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she engaged in discretionary trading in…

Robert Rex, Esq.
July 17, 2015

Former H.D. Vest Broker Sanctioned for Failing to Report Personal Bankruptcy to FINRA

Former H.D. Vest Broker Sanctioned for Failing to Report Personal Bankruptcy to FINRA 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 July 17, 2015 July 17, 2015

July 10, 2015- Jose Palacio entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he violated FINRA Rules 1122…

Robert Rex, Esq.
July 17, 2015

Kelly R. Brantley-Former Summit Brokerage Services Broker-Sanctioned by Regulator – Nokomis, FL

Kelly R. Brantley-Former Summit Brokerage Services Broker-Sanctioned by Regulator – Nokomis, FL 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 July 17, 2015 July 17, 2015

July 14, 2015-Nokomis, Florida Kelly R. Brantley entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she had received…

Robert Rex, Esq.
July 17, 2015

Former PRUCO Securities Broker Christopher Yoon Barred by FINRA

Former PRUCO Securities Broker Christopher Yoon Barred by FINRA 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 July 17, 2015 July 17, 2015

July 14, 2015 Christopher Yoon entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he: lied to a life insurance…

Robert Rex, Esq.
July 17, 2015

James Warr of Austin Sentenced to 15 Years for Fraud

James Warr of Austin Sentenced to 15 Years for 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 July 17, 2015 July 17, 2015

January 2018 Update-James E. Warr was convicted of Texas securities fraud and other felonies, including money laundering, and sentenced to 15 years in prison. July 16, 2015-Austin, Texas James Elton…

Robert Rex, Esq.
July 16, 2015

Cape Securities Fined $125K by Securities Regulators

Cape Securities Fined $125K 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 July 16, 2015 July 16, 2015

May 5, 2015 Cape Securities entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that: from 2/2012-9/2012 Cape Securities failed…

Robert Rex, Esq.
July 15, 2015

Former Lowell and Company Broker From Lubbock Sanctioned by Regulators

Former Lowell and Company Broker From Lubbock Sanctioned 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 July 15, 2015 July 15, 2015

July 10, 2015-Lubbock, TX Jeffery Karl Hobgood 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…

Robert Rex, Esq.
July 15, 2015

Former Wunderlich Securities Broker Sanctioned By Regulators-Plano

Former Wunderlich Securities Broker Sanctioned By Regulators-Plano 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 July 15, 2015 July 15, 2015

July 10, 2015-Dallas, TX Joseph C. 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 Rule…

Robert Rex, Esq.
July 15, 2015

John Waszolek-Former Raymond James Broker-Barred From Industry For Unethical Behavior With Elderly Client

John Waszolek-Former Raymond James Broker-Barred From Industry For Unethical Behavior With Elderly Client 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 July 15, 2015 July 15, 2015

July 13, 2015-Scottsdale, AZ John Anthony Waszolek entered into an Order Accepting Offer of Settlement (Order) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that accepted appointment as trustee and…

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