• Robert Rex, Esq.

Robert Hardcastle Investigation-VSR Financial Services Stockbroker
Robert Hardcastle Investigation-VSR Financial Services Stockbroker 150 150 Robert Rex, Esq.

Chesterfield, MO Rex Securities Law is investigating VSR Financial Services broker Robert B. Hardcastle  in connection with the sale of fixed annuities, mutual funds, equities,  limited partnerships, direct investments in oil & gas,  and…

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  • Robert Rex, Esq.

Candace McLeod, Holt, FLA, Sentenced to 75 Months for Wire Fraud
Candace McLeod, Holt, FLA, Sentenced to 75 Months for Wire Fraud 150 150 Robert Rex, Esq.

April 1, 2016 Candace B. McLeod, 32, of Holt, FL, was sentenced to 75 months in Federal prison according to a release from the US Department of Justice.  McLeod had…

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  • Robert Rex, Esq.

Tye Williams Named in Lawsuit-NEXT Financial Broker-Frisco,TX
Tye Williams Named in Lawsuit-NEXT Financial Broker-Frisco,TX 150 150 Robert Rex, Esq.

UPDATE SEPTEMBER 2016– Former NEXT Financial Group stockbroker, Tye Williams barred from the securities industry for failing to cooperate with regulatory investigation alleging theft of $1M. See this for more details. …

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  • Robert Rex, Esq.

George W. Cole Investigation-NEXT Financial Group Stockbroker
George W. Cole Investigation-NEXT Financial Group Stockbroker 150 150 Robert Rex, Esq.

April 1, 2016- Toms River, New Jersey FINRA records report that NEXT Financial Group stockbroker George W. Cole has been named in a customer complaint alleging that advice given by Cole…

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  • Robert Rex, Esq.

Brian Brunhaver Investigation Update-Former LPL Broker-Discloses Numerous Customer Complaints-Snohomish, WA
Brian Brunhaver Investigation Update-Former LPL Broker-Discloses Numerous Customer Complaints-Snohomish, WA 150 150 Robert Rex, Esq.

April 1, 2016-Snohomish, WA In 2013 Brian Brunhaver, a former stock broker with LPL Financial, was sanctioned the Washington State Securities regulators for the sale of non publicly traded real…

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  • Robert Rex, Esq.

Mark A. Lisser-Former Garden State Securities Broker- Subject of Customer Suits
Mark A. Lisser-Former Garden State Securities Broker- Subject of Customer Suits 150 150 Robert Rex, Esq.

September 2019 FINRA records disclose that former Garden State Securities stockbroker Mark A. Lisser has two pending customer disputes , 5 prior customer disputes and a termination from employment. FINRA…

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  • Robert Rex, Esq.

Raymond Pirrello of Garden State Securities Investigated by Securities Regulator
Raymond Pirrello of Garden State Securities Investigated by Securities Regulator 150 150 Robert Rex, Esq.

http://blog.rexsecuritieslaw.com/2018/03/23/raymond-j-pirrello-jr-churning-investigation/ UPDATE July 2016–Pirrello named in insider trading complaint filed by the Securities and Exchange commission. See this for details.  UPDATE June 2016-Former Garden State Securities stock broker Raymond J. Pirrello…

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  • Robert Rex, Esq.

Dwarka Persaud-Former Buckman Buckman & Reid Broker-Discloses Regulatory Suspension/Customer Disputes/ Bankruptcy Filing-Plainfield, NJ
Dwarka Persaud-Former Buckman Buckman & Reid Broker-Discloses Regulatory Suspension/Customer Disputes/ Bankruptcy Filing-Plainfield, NJ 150 150 Robert Rex, Esq.

UPDATE OCTOBER 2017–Dwarka Persaud Suspended-In August 2017 FINRA suspended Persaud for 18 months to resolve allegations that he violated the terms of a heightened supervision agreement which he and his…

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