• Robert Rex, Esq.

Former Southwest Securities Broker Sentenced for Fraud- Dallas, TX
Former Southwest Securities Broker Sentenced for Fraud- Dallas, TX 150 150 Robert Rex, Esq.

January 21, 2016 – Dallas Texas Former  Southwest Securities broker Wade J. Lawrence was sentenced to three years in prison for fraud, according to the Dallas Morning News. According to…

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  • Robert Rex, Esq.

James Nixon –Former Bridge Capital Associates/ Source Capital Group Stock Broker — Sanctioned by Securities Regulator
James Nixon –Former Bridge Capital Associates/ Source Capital Group Stock Broker — Sanctioned by Securities Regulator 150 150 Robert Rex, Esq.

January 8, 2016- Rowayton, CT James J. Nixon entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with Bridge…

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  • Robert Rex, Esq.

John R. McKinstry Investigation-Former Moloney Securities Broker-St. Louis
John R. McKinstry Investigation-Former Moloney Securities Broker-St. Louis 150 150 Robert Rex, Esq.

1/21/2016-St. Louis, MO Rex Securities Law is investigating former Moloney Securities broker John R. McKinstry on behalf of an elderly retired couple. According to his FINRA brokercheck report, McKinstry was discharged…

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  • Robert Rex, Esq.

Ponca City Oklahoma Resident Named in Regulatory Action
Ponca City Oklahoma Resident Named in Regulatory Action 150 150 Robert Rex, Esq.

January 20, 2016-Ponca City, Oklahoma THe U S Commodity Futures Trading Commission (CFTC) filed an enforcement action against Kevin J. Davis charging him with acting as an unregistered commodity pool…

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  • Robert Rex, Esq.

Phony “Frontier Disney” Near Dallas Fooled Many Investors
Phony “Frontier Disney” Near Dallas Fooled Many Investors 150 150 Robert Rex, Esq.

January 19, 2015- Dallas, Texas The FBI reports that Thomas W. Lucas, Jr. was such an effective liar that he was able to convince hundreds of investors—even members of his own family—that…

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  • Robert Rex, Esq.

Unsuitable Mutual Fund Switching Leads to Fine/Suspension for Stuart, FL, Stock Broker
Unsuitable Mutual Fund Switching Leads to Fine/Suspension for Stuart, FL, Stock Broker 150 150 Robert Rex, Esq.

January 6, 2016- Stuart, Florida Jeffrey Davidson entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with American Portfolio…

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  • Robert Rex, Esq.

John D. Wiswell-American Financial Portfolios Services Broker Sanctioned by Regulators-Stuart, FLA
John D. Wiswell-American Financial Portfolios Services Broker Sanctioned by Regulators-Stuart, FLA 150 150 Robert Rex, Esq.

December 30, 2015- Stuart, Florida John D. Wiswell entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with American…

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  • Robert Rex, Esq.

Geoffrey Schiffrin, Finance 500 Broker Sanctioned for Penny Stock Sales
Geoffrey Schiffrin, Finance 500 Broker Sanctioned for Penny Stock Sales 150 150 Robert Rex, Esq.

December 28, 2015- Delray Beach, Florida Geoffrey Schiffrin entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with…

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  • Robert Rex, Esq.

Finance 500 Broker Sanctioned for Penny Stock Violations-Delray Beach, FL
Finance 500 Broker Sanctioned for Penny Stock Violations-Delray Beach, FL 150 150 Robert Rex, Esq.

January 11, 2016 Robert E. Richards entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with Finance 500,…

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