Roman T. Luckey- Former Newport Coast Broker Sanctioned for Failing to Detect Churning and Abuse of Customer Accounts

Roman T. Luckey- Former Newport Coast Broker Sanctioned for Failing to Detect Churning and Abuse of Customer Accounts 150 150 Robert Rex, Esq.

August 14,  2015- Long Beach, CA Roman Tyler Luckey, submitted an Offer of Settlement to  the Financial Industry Regulatory Authority (FINRA) to resolve allegations that as Manager of Trading for Newport Coast Securities…

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Heidi Calonge-Bartow and Plant City Florida Insurance Agent Sentenced for Fraud

Heidi Calonge-Bartow and Plant City Florida Insurance Agent Sentenced for Fraud 150 150 Robert Rex, Esq.

November  16, 2015-Tampa, FL According to an FBI Press Release, Heidi Y. Calonge, 34, of Plant City, Florida,  was sentenced to 18 months in federal prison , followed by 6 months…

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Charlotte Guin-Former JP Morgan Securities Broker-Subject of $10M Customer Suit-Huffman, TX

Charlotte Guin-Former JP Morgan Securities Broker-Subject of $10M Customer Suit-Huffman, TX 150 150 Robert Rex, Esq.

May 2018 Update–Charlotte Guin is subject of $10M suit. Follow this for more information.  Original Post-August 5,  2015– Huffman, Texas  Charlotte Ann Guin ,  entered into a Letter of Acceptance Waiver and Consent…

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Former Robert W Baird Broker -Franklin, TN, Barred From Securities Industry

Former Robert W Baird Broker -Franklin, TN, Barred From Securities Industry 150 150 Robert Rex, Esq.

Patrick L. Garrett ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he intentionally and knowingly misrepresented to a…

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Marcus Farquhar-Former 1st Global Capital Broker -Sanctioned by Regulator-Edna, TX

Marcus Farquhar-Former 1st Global Capital Broker -Sanctioned by Regulator-Edna, TX 150 150 Robert Rex, Esq.

August 7, 2015- Edna, Texas Marcus Farquhar ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from April 2013 to…

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Phillip Dunwoody Cox- Former Sterne Agee Broker in Atlanta Sanctioned by Regulators

Phillip Dunwoody Cox- Former Sterne Agee Broker in Atlanta Sanctioned by Regulators 150 150 Robert Rex, Esq.

July 24,  2015- Atlanta, Georgia Phillip Dunwoody Cox, Jr.  ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he…

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Dallas Based VCA Securities Censured by Securities Regulators

Dallas Based VCA Securities Censured by Securities Regulators 150 150 Robert Rex, Esq.

August 12, 2015- Dallas, Texas VCA Securities  (formerly Bluffview Securities)  , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that…

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National Planning Corp. Fined by Regulators for Excessive Sales Charges

National Planning Corp. Fined by Regulators for Excessive Sales Charges 150 150 Robert Rex, Esq.

August 25, 2015- El Segundo, California National Planning Corporation , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from…

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J.P. Turner Sanctioned For Excessive Sales Charges

J.P. Turner Sanctioned For Excessive Sales Charges 150 150 Robert Rex, Esq.

August 25, 2015- Atlanta, Georgia J.P. Turner & Company , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from…

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Miami Based Investacorp Sanctioned For Excessive Sales Charges on REIT Sales

Miami Based Investacorp Sanctioned For Excessive Sales Charges on REIT Sales 150 150 Robert Rex, Esq.

July 15, 2015- Miami, Florida Investacorp Inc. , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from April 2009…

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