• Robert Rex, Esq.

Carson Energy / Austin Texas Residents Named In Iowa Oil & Gas Securities Fraud Action
Carson Energy / Austin Texas Residents Named In Iowa Oil & Gas Securities Fraud Action 150 150 Robert Rex, Esq.

August 28, 2015 Iowa Insurance Commissioner Nick Gerhart issued a cease and desist order to the following Austin, Texas residents: Carson Energy, Inc.              …

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  • Robert Rex, Esq.

Armando Hernandez Leal Admits Laundering $66 Million From Mexican Investor-San Antonio
Armando Hernandez Leal Admits Laundering $66 Million From Mexican Investor-San Antonio 150 150 Robert Rex, Esq.

August 26, 2015- San Antonio, Texas The FBI reports that Armando Jesus Hernandez Leal, 53, of Shavano Park, Texas, pleaded guilty to federal money laundering charges in connection with a…

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  • Robert Rex, Esq.

Dennis Flood of Medina County Ohio Sentenced For Insurance Scam
Dennis Flood of Medina County Ohio Sentenced For Insurance Scam 150 150 Robert Rex, Esq.

August 26, 2015- Cleveland, Ohio Cleveland.com reports that Dennis Flood, 64, of Brunswick, Ohio, pleaded guilty to engaging in a pattern of corrupt activity and aggravated theft for stealing  from…

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  • Robert Rex, Esq.

St. Tammany SALT Council to Hold “Money Smart for Older Adults Seminar” Sept. 9, 2015
St. Tammany SALT Council to Hold “Money Smart for Older Adults Seminar” Sept. 9, 2015 150 150 Robert Rex, Esq.

August 27, 2015- Slidell, Louisiana The St. Tammany SALT Council, the Council on Aging St. Tammany (COAST) and Gulf Coast Bank & Trust are holding a free seminar  on Financial…

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  • Robert Rex, Esq.

E1 Asset Management Sanctioned by Securities Regulators for Supervisory Deficiencies
E1 Asset Management Sanctioned by Securities Regulators for Supervisory Deficiencies 150 150 Robert Rex, Esq.

June 5 , 2015 E1 Asset Management , entered into a Letter of Acceptance, Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve numerous allegations related to supervision, including allegations…

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  • Robert Rex, Esq.

Former MML Investors Services Broker From Neptune Beach, FL, Arrested in Iowa for Forgery & Theft
Former MML Investors Services Broker From Neptune Beach, FL, Arrested in Iowa for Forgery & Theft 150 150 Robert Rex, Esq.

July 1, 2015 The Financial Industry Regulatory Authority (FINRA) entered a default decision against Jeffrey Alan Stewart barring him from associating with any FINRA member in any capacity for converting…

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  • Robert Rex, Esq.

Former Cambridge Investment Research Broker Charged with Felony
Former Cambridge Investment Research Broker Charged with Felony 150 150 Robert Rex, Esq.

August 19, 2015, Francesco Puccio , entered into a Letter of Acceptance, Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he would not provide documents and…

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  • Robert Rex, Esq.

Barry Hartman-FSC Securities Broker- Sanctioned by Regulator
Barry Hartman-FSC Securities Broker- Sanctioned by Regulator 150 150 Robert Rex, Esq.

  Barry George Hartman , entered into a Letter of Acceptance, Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he engaged in outside business activities without…

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  • Robert Rex, Esq.

Yuvraj Taneja=Former PFS Investments Broker-Barred from Industry for Selling Phony Insurance Policies
Yuvraj Taneja=Former PFS Investments Broker-Barred from Industry for Selling Phony Insurance Policies 150 150 Robert Rex, Esq.

August19, 2015-Herndon, VA According to FINRA records, Yuvraj Taneja , entered into a Letter of Acceptance, Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she electronically…

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  • Robert Rex, Esq.

Walter Priebe-Former Investacorp Broker – Sanctioned by Securities Regulator-Ft. Lauderdale
Walter Priebe-Former Investacorp Broker – Sanctioned by Securities Regulator-Ft. Lauderdale 150 150 Robert Rex, Esq.

August19, 2015, Walter Paul Priebe , entered into a Letter of Acceptance, Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he acted in a fiduciary…

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