H. Beck Sanctioned for Failure to Perform Due Diligence In Connection With Sale of Private Placements

H. Beck Sanctioned for Failure to Perform Due Diligence In Connection With Sale of Private Placements 150 150 Robert Rex, Esq.

October 26, 2015- Bethesda, Maryland H. Beck, Inc.  ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between May 2008 and…

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Austin Money Mangers Ordered to Pay $31 million Restitution on Phony Oil and Gas Deals

Austin Money Mangers Ordered to Pay $31 million Restitution on Phony Oil and Gas Deals 150 150 Robert Rex, Esq.

October 26, 2015- Austin, Texas U.S. Magistrate Mark Lane entered a final judgment in favor of the SEC against four money managers who promoted scam investments in oil and gas…

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Signator Investors Fined $450,000 for Inadequate Supervisory Procedures

Signator Investors Fined $450,000 for Inadequate Supervisory Procedures 150 150 Robert Rex, Esq.

August 13, 2015- Loudon, Tennessee/ Boston, MA Signator Investors, Inc. , 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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Plano Based Red River Securities & Brian Hardwick Named In Securities Complaint

Plano Based Red River Securities & Brian Hardwick Named In Securities Complaint 150 150 Robert Rex, Esq.

July 27, 2015- Plano, Texas The Financial Industry Regulatory Authority (FINRA) filed a complaint against Plano based Red River Securities and Brian Keith Hardwick alleging that they violated the Securities…

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Joseph Charles Schroeder-Wunderlich Securities Broker- Sanctioned by Regulator

Joseph Charles Schroeder-Wunderlich Securities Broker- Sanctioned by Regulator 150 150 Robert Rex, Esq.

July 10, 2015- Dallas, Texas Joseph Charles Schroeder ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he violated NASD…

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Port Orange Florida Stock Broker Sanctioned by FINRA

Port Orange Florida Stock Broker Sanctioned by FINRA 150 150 Robert Rex, Esq.

July 24,  2015- Port Orange, Florida Dennis Ray Roberts ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he borrowed…

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Hector Perez a/k/a Bruce Johnson Barred From Securities Industry

Hector Perez a/k/a Bruce Johnson Barred From Securities Industry 150 150 Robert Rex, Esq.

July 1, 2015 Hector Perez , a/k/a Bruce Johnson ,  entered into a settlement with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between December 2009 and February 2011, he…

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Former NYLife Securities Broker in San Antonio Barred from Industry by Regulators

Former NYLife Securities Broker in San Antonio Barred from Industry by Regulators 150 150 Robert Rex, Esq.

July 2,  2015- San Antonio, Texas Emily A. Pena ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she used personal…

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Jose Palacio-Former H.D. Vest Broker-Sanctioned by Regulator-Bradenton,FL

Jose Palacio-Former H.D. Vest Broker-Sanctioned by Regulator-Bradenton,FL 150 150 Robert Rex, Esq.

July 10,  2015- Bradenton, Florida Jose Luis Palacio ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he willfully failed to timely…

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Dylan Grayson- Merrill Lynch Broker in Plano Texas-Barred from Securities Industry

Dylan Grayson- Merrill Lynch Broker in Plano Texas-Barred from Securities Industry 150 150 Robert Rex, Esq.

July 9 , 2015- Plano, Texas Dylan Patrick Grayson ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to provide…

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