• Robert Rex, Esq.

Cryptocurrency Promoters Shut Down by Texas Regulator-Austin, TX
Cryptocurrency Promoters Shut Down by Texas Regulator-Austin, TX 150 150 Robert Rex, Esq.

May 2018-Austin, TX The Texas State Securities Board (TSSB) entered emergency orders against the following unregistered promoters who are fraudulently offering high-return investments in cryptocurrencies: Bitcoin Trading & Cloud Mining,…

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  • Robert Rex, Esq.

Stephanie D. Abee-Cambridge Investment Research Broker-Discloses Settlement of Customer Disputes-Raleigh, N.C.
Stephanie D. Abee-Cambridge Investment Research Broker-Discloses Settlement of Customer Disputes-Raleigh, N.C. 150 150 Robert Rex, Esq.

May 2018- Raleigh, North Carolina According to FINRA records, Stephanie Devan Abee,  a  stockbroker who is  currently employed by Cambridge Investment Research, disclose  settlement of two customer disputes. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Charlotte Guin-Former J.P. Morgan Securities Broker-Subject of $10M+ Lawsuit-Huffman, Texas
Charlotte Guin-Former J.P. Morgan Securities Broker-Subject of $10M+ Lawsuit-Huffman, Texas 150 150 Robert Rex, Esq.

May 2018- Huffman, Texas  According to FINRA records, Charlotte A. Guin,  a  former stockbroker who was last  employed by J.P. Morgan Securities , disclose  a prior regulatory event a termination from employment…

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  • Robert Rex, Esq.

Jason Zwibel-Garden State Securities Broker-Named in $2.6M Customer Suit-Wellington, FL
Jason Zwibel-Garden State Securities Broker-Named in $2.6M Customer Suit-Wellington, FL 150 150 Robert Rex, Esq.

See this for January 2020 Update. May 2018 -Wellington, FL According to FINRA records, Jason Eric Zwibel,  a   stockbroker who is  employed by Garden State Securities  , disclose  a pending dispute…

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  • Robert Rex, Esq.

Two S. Floridians Indicted on Valentine Beauty Pump and Dump Stock Scheme-Miami, FL
Two S. Floridians Indicted on Valentine Beauty Pump and Dump Stock Scheme-Miami, FL 150 150 Robert Rex, Esq.

May 2018-Miami, Florida The US Attorneys Office for the Southern District of Florida announced that two Florida stock promoters have been charged with a $1 million pump and dump securities…

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  • Robert Rex, Esq.

Windsor Street Capital (f/k/a Meyers Associates) Has Numerous Regulatory Events
Windsor Street Capital (f/k/a Meyers Associates) Has Numerous Regulatory Events 150 150 Robert Rex, Esq.

May 2018 —According to FINRA records,  stock brokerage firm Windsor Street Capital LP (formerly known as Meyers Associates),  discloses 3 pending regulatory events, 20 regulatory events that are final and 12 final arbitrations. The…

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  • Robert Rex, Esq.

LPL Financial to Pay $26M to Resolve Regulatory Investigation
LPL Financial to Pay $26M to Resolve Regulatory Investigation 150 150 Robert Rex, Esq.

May 2018 The North American Securities Administrators Association (NASAA) announced that a settlement has been reached between state securities regulators and LPL Finanical requiring LPL Finanical to repurchase from investors…

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  • Robert Rex, Esq.

Tom Brolle Investigation-Former Morgan Stanley Broker-Newton, PA
Tom Brolle Investigation-Former Morgan Stanley Broker-Newton, PA 150 150 Robert Rex, Esq.

May 2018-Newton, PA According to FINRA records, Bruce Thomas Brolle ,  a stockbroker who is not currently registered with any broker dealer, discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is…

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  • Robert Rex, Esq.

Mohamed Debbagh-Former Cetera Advisors Broker-Discloses Pending Customer Suit-Boca Raton, FL
Mohamed Debbagh-Former Cetera Advisors Broker-Discloses Pending Customer Suit-Boca Raton, FL 150 150 Robert Rex, Esq.

April 2018 -Boca Raton, FL According to FINRA records, Mohamed Debbagh,  a   stockbroker who was recently  employed by Cetera Advisors  , disclose  a pending dispute by a former customer. The Financial…

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  • Robert Rex, Esq.

Dexter Thomas Litigation Update-Former National Planning Corp. Broker-Dallas, TX
Dexter Thomas Litigation Update-Former National Planning Corp. Broker-Dallas, TX 150 150 Robert Rex, Esq.

May 2019 Litigation UPDATE–Follow this link for the latest on the Dexter Thomas litigation.  If you made a claim for losses that was denied by Mr. Thomas’ former employer, call…

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