• Robert Rex, Esq.

How to Recover Losses on Oil & Gas MLPs (Master Limited Partnerships)
How to Recover Losses on Oil & Gas MLPs (Master Limited Partnerships) 150 150 Robert Rex, Esq.

February 11, 2016 If you have significant losses on energy sector Master Limited Partnerships (MLPs) you may be able to recover damages if the broker improperly recommended the investment to…

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  • Robert Rex, Esq.

Purshe Kaplan Sterling Investments and Broker Vungarala Named In Regulatory Complaint
Purshe Kaplan Sterling Investments and Broker Vungarala Named In Regulatory Complaint 150 150 Robert Rex, Esq.

February 4, 2016- Boca Raton, Florida The Financial Industry Regulatory Authority (FINRA) filed a disciplinary proceeding against brokerage firm Purshe Kaplan Sterling Investments and broker Gopi Krishna Vungarala alleging that from…

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  • Robert Rex, Esq.

Rex Securities Law Investigates VSR Financial Broker Terrell C. Lady- Williamsburg, VA
Rex Securities Law Investigates VSR Financial Broker Terrell C. Lady- Williamsburg, VA 150 150 Robert Rex, Esq.

Williamsburg, VA Rex Securities Law is investigating VSR Financial Services broker Terrell C. Lady  of Providence Wealth Advisors in connection with the sale of real estate securities, promissory notes,  equipment leasing investments, limited partnerships…

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  • Robert Rex, Esq.

Rex Securities Law Investigates VSR Financial Broker Mikiel Featherston- Austin, Texas
Rex Securities Law Investigates VSR Financial Broker Mikiel Featherston- Austin, Texas 150 150 Robert Rex, Esq.

Austin, Texas Rex Securities Law is investigating VSR Financial Services broker Mikiel R. Featherston of The Featherston Group in connection with the sale of various direct investments including real estate securities  and limited partnership…

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  • Robert Rex, Esq.

Rex Securities Law Investigates VSR Financial Services Broker Lisa Allen- Austin, TX
Rex Securities Law Investigates VSR Financial Services Broker Lisa Allen- Austin, TX 150 150 Robert Rex, Esq.

Austin, Texas UPDATE DECEMBER 2017-Lisa Allen is currently registered with Calton & Associates. See this for more information regarding VSR Financial Services.  Rex Securities Law is investigating VSR Financial Services broker Lisa…

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  • Robert Rex, Esq.

Rex Securities Law Investigates Former VSR Financial Services Broker Gregory Ellis-Baton Rouge, LA
Rex Securities Law Investigates Former VSR Financial Services Broker Gregory Ellis-Baton Rouge, LA 150 150 Robert Rex, Esq.

Baton Rouge, LA Rex Securities Law is investigating former VSR Financial Services broker Gregory M. Ellis  in connection with the sale of various alternative investments including real estate securities, oil and gas securities,…

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  • Robert Rex, Esq.

Boynton Beach, FL Resident Named in Forex Fraud Order
Boynton Beach, FL Resident Named in Forex Fraud Order 150 150 Robert Rex, Esq.

February 4, 2016- Boynton Beach, Florida The U.S. Commodity Futures Trading Commission (CFTC) announced that a Federal Court issued a Consent Order against Robert Tripode of Boynton Beach, FL, in…

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  • Robert Rex, Esq.

Austin, Texas-Former WFG Broker Named In Regulatory Complaint
Austin, Texas-Former WFG Broker Named In Regulatory Complaint 150 150 Robert Rex, Esq.

January 22, 2016- Austin, Texas Harvey B. Vaughn, Jr. was named in a disciplinary proceeding ( #2015045409001) filed ty the Financial Industry Regulatory Authority (FINRA) alleging that he willfully failed…

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  • Robert Rex, Esq.

NEXT Financial Group FIned $125K on Sales of UITs (Unit Investment Trusts)
NEXT Financial Group FIned $125K on Sales of UITs (Unit Investment Trusts) 150 150 Robert Rex, Esq.

January 27, 2016 – Houston, Texas NEXT Financial Group, Inc.  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from May 1,…

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  • Robert Rex, Esq.

Finance 500 Broker Sanctioned for Penny Stock Violations-Delray Beach, FL
Finance 500 Broker Sanctioned for Penny Stock Violations-Delray Beach, FL 150 150 Robert Rex, Esq.

January 11, 2016 Robert E. Richards entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with Finance 500,…

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