• Robert Rex, Esq.

Fischer, Texas- Caldwell International Securities Named in Complaint by Securities Regulator
Fischer, Texas- Caldwell International Securities Named in Complaint by Securities Regulator 150 150 Robert Rex, Esq.

December 31, 2015- Fischer, Texas On December 31, 2015, the Financial Industry Regulatory Authority  (FINRA) filed a complaint against Caldwell International Securities alleging that firm founder Greg Caldwell and supervisors Paul Jacobs…

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  • Robert Rex, Esq.

Betsy Marcom-NEXT Financial Group Broker Fined/Suspended for Unsuitable Recommendation to Church-Georgetown, TX
Betsy Marcom-NEXT Financial Group Broker Fined/Suspended for Unsuitable Recommendation to Church-Georgetown, TX 150 150 Robert Rex, Esq.

November 19, 2015-Georgetown, Texas Betsy Marcom (formerly Betsy Bratton Perryman) , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between…

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  • Robert Rex, Esq.

FINRA Fines Firms for Violations in 2015
FINRA Fines Firms for Violations in 2015 150 150 Robert Rex, Esq.

January 8, 2015 The Investment News published a summary of the largest penalties handed out in 2015 by the Financial Industry Regulatory Authority (FINRA), which included: Puerto Rican Bonds-A fine…

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  • Robert Rex, Esq.

Larry Werbel Indicted for $15M VGTL Securities Fraud
Larry Werbel Indicted for $15M VGTL Securities Fraud 150 150 Robert Rex, Esq.

1/8/2016- Cleveland, Ohio Larry Werbel, 67,  of Evolution Partners Wealth Management in Chagrin Falls was indicted on charges that he participated in a scheme which defrauded about 100 investors out…

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  • Robert Rex, Esq.

Certified Financial Planning Board Censures Brokers in Houston and Austin
Certified Financial Planning Board Censures Brokers in Houston and Austin 150 150 Robert Rex, Esq.

December 29, 2015 The Certified Financial Planning Board recently sanctioned two Texas individuals: Richard Blair, Bee Cave, TX In July 2015, CFP Board’s Disciplinary and Ethics Commission (Commission) issued an…

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  • Robert Rex, Esq.

Fidelity Ordered to Pay $500,000 Fine For Failing to Failing to Identify “Red Flags” Associated with Broker Theft
Fidelity Ordered to Pay $500,000 Fine For Failing to Failing to Identify “Red Flags” Associated with Broker Theft 150 150 Robert Rex, Esq.

December 18, 2015- Fidelity Brokerage Services , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between August 2006 and…

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  • Robert Rex, Esq.

Morgan Stanley/Broker Ordered to Pay 92 year old Widow $1 Million for Churning Account
Morgan Stanley/Broker Ordered to Pay 92 year old Widow $1 Million for Churning Account 150 150 Robert Rex, Esq.

December 8, 2015-Boston, MA A FINRA arbitration panel ordered Morgan Stanley and broker Justin Amaral to pay  a 92 year old widow over $1 million for churning her account. The victim…

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  • Robert Rex, Esq.

Zachary Bader-Former Craig Scott Capital Broker Barred From Industry for Churning Customer Account
Zachary Bader-Former Craig Scott Capital Broker Barred From Industry for Churning Customer Account 150 150 Robert Rex, Esq.

November 13, 2015-Melville NY Rex Securities Law is investigating options for recovery for investors who suffered damages in brokerage accounts handled by Zachary T. Bader. Zachary Bader , entered into a Letter…

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  • Robert Rex, Esq.

Dennis Van Patter Investigation -First Financial Services Group-Plano,TX
Dennis Van Patter Investigation -First Financial Services Group-Plano,TX 150 150 Robert Rex, Esq.

November 20, 2015-Plano, Texas Dennis Van Patter , a broker with VSR FInancial Services operates his financial service business through First Financial Services Group in Plano, Texas. Van Patter recently entered into a…

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  • Robert Rex, Esq.

Texas State Securities Board Fines Carrollton, TX, Investment Adviser
Texas State Securities Board Fines Carrollton, TX, Investment Adviser 150 150 Robert Rex, Esq.

December 10, 2015 Austin, Texas John Morgan, Securities Commissioner of the Texas State Securities Board (TSSB) issued a disciplinary order against Mike Reed Hall of Carrollton, TX, and assessed a fine of $5,000…

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