• Robert Rex, Esq.

Update March 2016: SEC Alert Warning Investors to Be Wary of Oil & Gas Investments
Update March 2016: SEC Alert Warning Investors to Be Wary of Oil & Gas Investments 150 150 Robert Rex, Esq.

 MARCH 2016-After the dramatic collapse of oil prices in the past year, it is apparent that a 2013 SEC investor alert, which we discussed nearly three years ago, was something investor would…

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  • Robert Rex, Esq.

Thomas Schober- Former SII Investments Stockbroker-Sued by Customer Over Annuity Investments
Thomas Schober- Former SII Investments Stockbroker-Sued by Customer Over Annuity Investments 150 150 Robert Rex, Esq.

UPDATE MARCH 2017– Thomas Schober, formerly a broker with SII Investments discloses a pending customer dispute and two prior customer disputes that have been resolved. All of the disputes relate…

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  • Robert Rex, Esq.

Losses on Oil & Gas Investments? How to Recover Damages.
Losses on Oil & Gas Investments? How to Recover Damages. 150 150 Robert Rex, Esq.

March 2016 With oil down 60% from just a year ago, it is no surprise that investments in oil and gas have followed a similar path, generating significant losses in…

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  • Robert Rex, Esq.

Questar Capital Ordered to Pay Customer For Unsuitable REIT Sale
Questar Capital Ordered to Pay Customer For Unsuitable REIT Sale 150 150 Robert Rex, Esq.

March 1, 2016- Louisville, KY A Financial Industry Regulatory Authority (FINRA) arbitration panel ordered Questar Capital Corporation  to pay a customer $120,391, plus costs. The customer filed a case seeking damages as a result of…

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  • Robert Rex, Esq.

Henry Kulig- FSC Securities/ Csenge Advisory Investigation-Clearwater, FL
Henry Kulig- FSC Securities/ Csenge Advisory Investigation-Clearwater, FL 150 150 Robert Rex, Esq.

JUNE 2018- Clearwater, FLA We are investigating the Csenge Advisory Group on behalf of an elderly lady who alleges that she was sold an  unsuitable real estate investment trust (REIT).…

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  • Robert Rex, Esq.

Sagepoint Financial Hit With Arbitration Award for Allowing Husband to Trade Wife’s Account
Sagepoint Financial Hit With Arbitration Award for Allowing Husband to Trade Wife’s Account 150 150 Robert Rex, Esq.

March 3, 2016- Des Moines, Iowa A Financial Industry Regulatory Authority (FINRA) arbitration panel ordered Sagepoint Financial to pay $57,500 to a wife who brought the action against Sagepoint alleging…

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  • Robert Rex, Esq.

Lisa Lowi Investigation-Former RBC Capital Broker-W. Palm Beach, FL
Lisa Lowi Investigation-Former RBC Capital Broker-W. Palm Beach, FL 150 150 Robert Rex, Esq.

November 2017-South Florida We are investigating former RBC Capital Markets/ Janney Montgomery Scott broker Lisa J Lowi of West Palm Beach, Florida. According to her official FINRA record, Lowi was recently barred from the…

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  • Robert Rex, Esq.

Naples Florida Man Sentenced to 6 1/2 Years for Investment Fraud
Naples Florida Man Sentenced to 6 1/2 Years for Investment Fraud 150 150 Robert Rex, Esq.

March 14, 2016- Fort Myers, Florida The Department of Justice announced today that Dorian Garcia, age 31, was sentenced to 6 and one half years in federal prison for a…

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  • Robert Rex, Esq.

Lubbock, Texas-Caprock Securities Ceases Operations Following Verdict vs. Broker Tony Robertson
Lubbock, Texas-Caprock Securities Ceases Operations Following Verdict vs. Broker Tony Robertson 150 150 Robert Rex, Esq.

January 25, 2016- Lubbock, Texas Tony L. Robertson , formerly a broker with Caprock Securities  was permanently barred from the securities industry, for failing to respond to FINRA request for information.…

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