• Robert Rex, Esq.

Investigation of VFG Securities in Plano, Texas- Sale of REITs & Alternative Investments
Investigation of VFG Securities in Plano, Texas- Sale of REITs & Alternative Investments 150 150 Robert Rex, Esq.

February 17, 2016- Plano, Texas Rex Securities Law is investigating VFG Securities, a broker dealer headquartered in Culver City California, with offices in Plano, Texas, in connection with the sale…

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  • Robert Rex, Esq.

VFG Securities Named in Regulatory Complaint for Sales of REITs/ Alternative Investments
VFG Securities Named in Regulatory Complaint for Sales of REITs/ Alternative Investments 150 150 Robert Rex, Esq.

UPDATE November 2016-VFG Securities and Jason Vanclef sanctioned by FINRA.  February 9, 2016-Plano Texas/ Culver City California The Financial Industry Regulatory Authority (FINRA) filed a complaint No. 2013038283001 against VFG…

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  • Robert Rex, Esq.

MidAmerica Financial Services (MFS) Sanctioned by Securities Regulators- Joplin, Missouri
MidAmerica Financial Services (MFS) Sanctioned by Securities Regulators- Joplin, Missouri 150 150 Robert Rex, Esq.

  On February 5, 2016, MidAmerica Financial Services entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from 2010-2014, MidAmerica…

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  • Robert Rex, Esq.

Bankers & Investors Co. Sanctioned on UIT(Unit Investment Trust) Sales-Topeka, Kansas
Bankers & Investors Co. Sanctioned on UIT(Unit Investment Trust) Sales-Topeka, Kansas 150 150 Robert Rex, Esq.

February 3, 2016 – Topeka, Kansas Bankers & Investors Co.  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from March 2010-March…

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  • Robert Rex, Esq.

Ameriprise Broker Sanctioned for Sale of BioChemics Scientific Stock-Plano, Texas
Ameriprise Broker Sanctioned for Sale of BioChemics Scientific Stock-Plano, Texas 150 150 Robert Rex, Esq.

February 9, 2016- Plano, Texas William Wesley Marshall entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  he participated in private securities…

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  • Robert Rex, Esq.

Craig Scott Capital & Execs Accused of Churning Customer Accounts
Craig Scott Capital & Execs Accused of Churning Customer Accounts 150 150 Robert Rex, Esq.

UPDATE-August 2016-Brent Porges not currently registered. See this for details. January 28, 2016 Craig Scott Capital (CSC) , its co-founder and President Craig Scott Taddonio and Brent Morgan Porges, a…

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  • Robert Rex, Esq.

Allstate Financial Services Broker Discharged/ Sanctioned by Regulators- Griffin, Georgia
Allstate Financial Services Broker Discharged/ Sanctioned by Regulators- Griffin, Georgia 150 150 Robert Rex, Esq.

January 13, 2016- Griffin, Georgia Stanley Ball entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while he was registered with Allstate…

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  • Robert Rex, Esq.

Rex Securities Law Investigates Kovack Securities Broker Stanley Keyes-Crowley, LA
Rex Securities Law Investigates Kovack Securities Broker Stanley Keyes-Crowley, LA 150 150 Robert Rex, Esq.

February 12, 2016- Crowley, LA Rex Securities Law is investigating Kovack Securities broker Stanley J. Keyes  of Keyes Financial Services in connection with customer complaints and a FINRA regulatory matter in 2011. According to FINRA records …

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  • Robert Rex, Esq.

Baylor Grad Pleads Guilty in Fraudulent Oil & Gas Overriding Royalty Scheme
Baylor Grad Pleads Guilty in Fraudulent Oil & Gas Overriding Royalty Scheme 150 150 Robert Rex, Esq.

February 2, 2016- Sherman, Texas News 12 KXII reports that Justin Spearman, a 27 year old graduate of Baylor University pleaded guilty before U.S. Magistrate Judge Christine A. Nowak  to…

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