• Robert Rex, Esq.

Summit Brokerage Services Broker Sanctioned for Borrowing from Customer
Summit Brokerage Services Broker Sanctioned for Borrowing from Customer 150 150 Robert Rex, Esq.

October 15, 2015 – Fredericksburg, VA Jonathan D. Freeze  , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he borrowed $20,000…

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  • Robert Rex, Esq.

Tyler, Texas- Insurance Agent Pleads Guilty to $5.4 Million Ponzi Scheme
Tyler, Texas- Insurance Agent Pleads Guilty to $5.4 Million Ponzi Scheme 150 150 Robert Rex, Esq.

November 19, 2015- Tyler, Texas The FBI announced that Robert B. Hahn of Tyler, TX, pleaded guilty to wire fraud and money laundering in connection with an alleged  fraud he…

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  • Robert Rex, Esq.

Michael Duch-Kovack Securities Broker-Sanctioned for Sale of Unregistered Oil & Gas Investments
Michael Duch-Kovack Securities Broker-Sanctioned for Sale of Unregistered Oil & Gas Investments 150 150 Robert Rex, Esq.

Aberdeen, South Dakota JUNE 2017 UPDATE–Michael A. Duch discloses two regulatory events and 2 prior customer disputes on his FINRA record. In 3/ 2016 he was fined $2,000 by the…

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  • Robert Rex, Esq.

Cambridge Investment Research Broker Sanctioned by Securities Regulator- Metairie, LA
Cambridge Investment Research Broker Sanctioned by Securities Regulator- Metairie, LA 150 150 Robert Rex, Esq.

September 22, 2015- Metairie, LA Ralph Savoie , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he refused to provide…

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  • Robert Rex, Esq.

Charles Posner-Former Ascendiant Capital Markets Broker Sanctioned by Securities Regulator-Boynton Beach, FL
Charles Posner-Former Ascendiant Capital Markets Broker Sanctioned by Securities Regulator-Boynton Beach, FL 150 150 Robert Rex, Esq.

August 5, 2015- Boynton Beach, Florida Charles Posner , 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…

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  • Robert Rex, Esq.

HSBC Securities Broker Barred From Securities Industry by Regulator
HSBC Securities Broker Barred From Securities Industry by Regulator 150 150 Robert Rex, Esq.

August 6, 2015- Thousand Oaks, CA Gehrin Michael Ortiz , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to disclose…

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  • Robert Rex, Esq.

Roman T. Luckey- Former Newport Coast Broker Sanctioned for Failing to Detect Churning and Abuse of Customer Accounts
Roman T. Luckey- Former Newport Coast Broker Sanctioned for Failing to Detect Churning and Abuse of Customer Accounts 150 150 Robert Rex, Esq.

August 14,  2015- Long Beach, CA Roman Tyler Luckey, submitted an Offer of Settlement to  the Financial Industry Regulatory Authority (FINRA) to resolve allegations that as Manager of Trading for Newport Coast Securities…

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  • Robert Rex, Esq.

Heidi Calonge-Bartow and Plant City Florida Insurance Agent Sentenced for Fraud
Heidi Calonge-Bartow and Plant City Florida Insurance Agent Sentenced for Fraud 150 150 Robert Rex, Esq.

November  16, 2015-Tampa, FL According to an FBI Press Release, Heidi Y. Calonge, 34, of Plant City, Florida,  was sentenced to 18 months in federal prison , followed by 6 months…

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  • Robert Rex, Esq.

Former Robert W Baird Broker -Franklin, TN, Barred From Securities Industry
Former Robert W Baird Broker -Franklin, TN, Barred From Securities Industry 150 150 Robert Rex, Esq.

Patrick L. Garrett ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he intentionally and knowingly misrepresented to a…

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  • Robert Rex, Esq.

Marcus Farquhar-Former 1st Global Capital Broker -Sanctioned by Regulator-Edna, TX
Marcus Farquhar-Former 1st Global Capital Broker -Sanctioned by Regulator-Edna, TX 150 150 Robert Rex, Esq.

August 7, 2015- Edna, Texas Marcus Farquhar ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from April 2013 to…

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