• Robert Rex, Esq.

Montana Man Sentenced in Pump/Dump Penny Stock Scam
Montana Man Sentenced in Pump/Dump Penny Stock Scam 150 150 Robert Rex, Esq.

April 3, 2015 The FBI announced that Matthew Carley, of Bozeman, Montana, was sentenced to 24 months in prison for his role in a stock manipulation scheme involving Ashburn, Virginia,…

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  • Robert Rex, Esq.

Former Church Pastor Wesley Allen Brown Charged with Fraud by CFTC
Former Church Pastor Wesley Allen Brown Charged with Fraud by CFTC 150 150 Robert Rex, Esq.

March 31,2015 The U.S. Commodity Futures Trading Commission (CFTC) file a civil enforcement action in the District Court for the Middle District of Florida against Maverick International and principals Wesley…

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  • Robert Rex, Esq.

Dallas Based Worth Financial Group Sanctioned by Securities Regulator
Dallas Based Worth Financial Group Sanctioned by Securities Regulator 150 150 Robert Rex, Esq.

January 9, 2015 Worth Financial Group  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  it failed to establish adequate supervisory…

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  • Robert Rex, Esq.

David Harari-San Antonio Stock Broker Sanctioned by Regulator
David Harari-San Antonio Stock Broker Sanctioned by Regulator 150 150 Robert Rex, Esq.

March 9, 2015- San Antonio, Texas  The National Adjudicatory Council of the Financial Industry Regulatory Authority (FINRA) issued a decision in Complaint No. 20111025899601 , affirming and modifying sanctions against David Harari…

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  • Robert Rex, Esq.

Texans Sentenced in Mortgage Fraud Conspiracy in East Texas
Texans Sentenced in Mortgage Fraud Conspiracy in East Texas 150 150 Robert Rex, Esq.

March 17, 2015-Plano, Texas The FBI, Dallas Division, announced that five defendants have been sentenced for their roles in a mortgage fraud conspiracy in a hearing before U.S. District Judge…

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  • Robert Rex, Esq.

H.D. Vest Sanctioned by SEC For Failing to Supervise Broker
H.D. Vest Sanctioned by SEC For Failing to Supervise Broker 150 150 Robert Rex, Esq.

March 4, 2015 In Securities and Exchange Commission (SEC) Administrative Proceeding File No. 3-16419, the SEC found that H.D. Vest Investment Securities, Inc.  failed to supervise Michigan broker Lewis J.…

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  • Robert Rex, Esq.

Buffalo Resident Gregory Gray Arrested in Lake Worth, FL, on Securities Fraud
Buffalo Resident Gregory Gray Arrested in Lake Worth, FL, on Securities Fraud 150 150 Robert Rex, Esq.

March 5, 2015 The Buffalo News reports that Gregory W. Gray, Jr. of Buffalo, New York, recently charged by the SEC for operating a ponzi-like scheme, was arrested at his…

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  • Robert Rex, Esq.

Girard Securities Acquisition Closed by RCS Capital Group
Girard Securities Acquisition Closed by RCS Capital Group 150 150 Robert Rex, Esq.

March 12, 2015 RCS Capital Corporation announced that it closed the acquisition of Girard Securities. Girard Securities has over  $10  billion of assets and 250 financial advisors. They become a part of the  Cetera…

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  • Robert Rex, Esq.

RCS Capital Closes Deal on Acquisition of VSR Financial
RCS Capital Closes Deal on Acquisition of VSR Financial 150 150 Robert Rex, Esq.

March 5, 2015 RCS Capital Corporation announced that it closed the acquisition of VSR Group, Inc. and VSR Financial Services, Inc., which had been announced months ago. VSR Financial is based…

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  • Robert Rex, Esq.

Former Pompano Beach Florida Lawyer Hit With $1.5 Million SEC Fine
Former Pompano Beach Florida Lawyer Hit With $1.5 Million SEC Fine 150 150 Robert Rex, Esq.

March 11, 2015- A default judgment was entered against former Pompano Beach, FL, lawyer Guy Jean-Pierre (aka Marcelo Dominguez de Guerra) in favor of the Securities and Exchange Commission (SEC).…

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