• Robert Rex, Esq.

Marvin Slater of Dallas Suspended by Texas State Securities Board for Sale of Verto Capital Management Notes
Marvin Slater of Dallas Suspended by Texas State Securities Board for Sale of Verto Capital Management Notes 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 suspending investment adviser Marvin M Slater of Dallas, TX, for 90…

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  • Robert Rex, Esq.

Nine Indicted in South Florida in Oxford City Football Club Securities Fraud
Nine Indicted in South Florida in Oxford City Football Club Securities Fraud 150 150 Robert Rex, Esq.

December 11., 2015-  Miami, Florida The FBI reports that nine individuals have been indicted for operating a Broward County telemarketing scheme (aka “boiler room”) that caused investors nationwide to lose…

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  • Robert Rex, Esq.

UDF Shares Plummet From Over $17 to Under $9 in a Week-Hedge Fund Victim?
UDF Shares Plummet From Over $17 to Under $9 in a Week-Hedge Fund Victim? 150 150 Robert Rex, Esq.

UPDATE FEBRUARY 2016- FBI RAIDS UDF OFFICES IN GRAPEVINE, TEXAS—See this for details.  December 16, 2015-Grapevine, Texas United Development Funding IV (UDF) , a real estate investment trust (REIT) based…

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  • Robert Rex, Esq.

LPL Financial Stock Broker Barred from Industry Following Allegations that Funds Were Improperly Taken
LPL Financial Stock Broker Barred from Industry Following Allegations that Funds Were Improperly Taken 150 150 Robert Rex, Esq.

October 7, 2015-Fishers, IN Barbara D. Fife , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she failed to…

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  • Robert Rex, Esq.

Spartan Capital Securities Stock Broker Barred From Industry-Danbury, CN
Spartan Capital Securities Stock Broker Barred From Industry-Danbury, CN 150 150 Robert Rex, Esq.

October 13, 2015-Danbury, CN Jeffrey David Snyder , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he repeatedly refused…

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  • Robert Rex, Esq.

Dalton Strategic Investment Services Stock Broker Sanctioned Over Annuity Sales- Coral Gables, FL
Dalton Strategic Investment Services Stock Broker Sanctioned Over Annuity Sales- Coral Gables, FL 150 150 Robert Rex, Esq.

October 14, 2015-Coral Gables, FL Andrew M. Abern , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed…

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  • Robert Rex, Esq.

William Hightower-Former UBS/Legacy Asset Broker Barred from Industry-Houston, TX
William Hightower-Former UBS/Legacy Asset Broker Barred from Industry-Houston, TX 150 150 Robert Rex, Esq.

JANUARY 2019 UPDATE. See this for more. October 7, 2015-Houston, Texas William Andrew Hightower, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA)…

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  • Robert Rex, Esq.

Former Raymond James StockBroker Barred From Industry for Taking Customer Funds
Former Raymond James StockBroker Barred From Industry for Taking Customer Funds 150 150 Robert Rex, Esq.

October 8, 2015 Paul Anthony Steffany , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he he violated NASD and…

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  • Robert Rex, Esq.

Allstate Finanical Stock Broker Sanctioned for Failing to Report IRS Liens-Melrose, Illinois
Allstate Finanical Stock Broker Sanctioned for Failing to Report IRS Liens-Melrose, Illinois 150 150 Robert Rex, Esq.

October 13, 2015 Jose Luis Rodriguez , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he willfully violated FINRA by-laws…

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  • Robert Rex, Esq.

Losses on RCS Capital (RCAP) ? Recovery Options for Investors.
Losses on RCS Capital (RCAP) ? Recovery Options for Investors. 150 150 Robert Rex, Esq.

December 3, 2015 RCS Capital Corp. (RCAP) was trading at over $38 in April 2014. At the time of this writing it is trading for 43 cents. Investors who have…

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