• Robert Rex, Esq.

Morgan Stanley & Brokers Hit With $34M Arbitration Award-Tampa,FL
Morgan Stanley & Brokers Hit With $34M Arbitration Award-Tampa,FL 150 150 Robert Rex, Esq.

March 22, 2016- Tampa, FL A Financial Industry Regulatory Authority arbitration panel ordered Morgan Stanley and two of its broker to pay $34 million to the estate of Roy M.…

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  • Robert Rex, Esq.

James Poe of Ft. Worth Sanctioned for Sale of Life Settlements
James Poe of Ft. Worth Sanctioned for Sale of Life Settlements 150 150 Robert Rex, Esq.

March 21, 2016- Austin, Texas The Texas State Securities Board (TSSB) entered an order revoking the registration of Fort Worth investment adviser James Poe as well as his company, James…

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  • Robert Rex, Esq.

Citadel Securities-Numerous Recent Regulatory Sanctions
Citadel Securities-Numerous Recent Regulatory Sanctions 150 150 Robert Rex, Esq.

March 2016 According to FINRA records, Citadel Securities has a number of regulatory sanctions over the recent years, including the following: October 2015 FINRA Sanction- The firm used a trading logic that…

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  • 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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