• Robert Rex, Esq.

TD Ameritrade Fined $300,000 by Texas Securities Regulators
TD Ameritrade Fined $300,000 by Texas Securities Regulators 150 150 Robert Rex, Esq.

July 28, 2015 TD Ameritrade agreed to pay $300,000 to the state of Texas for failing to enforce internal rules requiring customers to be notified when money is withdrawn from…

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  • Robert Rex, Esq.

J.P. Turner to Shut Down, Most Brokers Headed to Summit Brokerage Services
J.P. Turner to Shut Down, Most Brokers Headed to Summit Brokerage Services 150 150 Robert Rex, Esq.

July 30, 2015 The Investment News reports that brokerage firm J.P. Turner is being closed down and that about half of its 300 brokers have been invited to join Summit…

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  • Robert Rex, Esq.

Former Cetera Financial Broker in Coral Springs Sanctioned by Securities Regulator
Former Cetera Financial Broker in Coral Springs Sanctioned by Securities Regulator 150 150 Robert Rex, Esq.

July 13, 2015 Ingrid Bachelor  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she engaged in discretionary trading in…

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  • Robert Rex, Esq.

Former H.D. Vest Broker Sanctioned for Failing to Report Personal Bankruptcy to FINRA
Former H.D. Vest Broker Sanctioned for Failing to Report Personal Bankruptcy to FINRA 150 150 Robert Rex, Esq.

July 10, 2015- Jose Palacio  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he violated FINRA Rules 1122…

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  • Robert Rex, Esq.

Kelly R. Brantley-Former Summit Brokerage Services Broker-Sanctioned by Regulator – Nokomis, FL
Kelly R. Brantley-Former Summit Brokerage Services Broker-Sanctioned by Regulator – Nokomis, FL 150 150 Robert Rex, Esq.

July 14, 2015-Nokomis, Florida Kelly R. Brantley  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she had received…

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  • Robert Rex, Esq.

Former PRUCO Securities Broker Christopher Yoon Barred by FINRA
Former PRUCO Securities Broker Christopher Yoon Barred by FINRA 150 150 Robert Rex, Esq.

July 14, 2015 Christopher Yoon  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he: lied to a life insurance…

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  • Robert Rex, Esq.

Cape Securities Fined $125K by Securities Regulators
Cape Securities Fined $125K by Securities Regulators 150 150 Robert Rex, Esq.

May 5, 2015 Cape Securities  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that: from 2/2012-9/2012 Cape Securities failed…

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  • Robert Rex, Esq.

Former Lowell and Company Broker From Lubbock Sanctioned by Regulators
Former Lowell and Company Broker From Lubbock Sanctioned by Regulators 150 150 Robert Rex, Esq.

July 10, 2015-Lubbock, TX Jeffery Karl Hobgood  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…

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  • Robert Rex, Esq.

John Waszolek-Former Raymond James Broker-Barred From Industry For Unethical Behavior With Elderly Client
John Waszolek-Former Raymond James Broker-Barred From Industry For Unethical Behavior With Elderly Client 150 150 Robert Rex, Esq.

July 13, 2015-Scottsdale, AZ John Anthony Waszolek  entered into an Order Accepting Offer of Settlement (Order) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that accepted appointment as trustee and…

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  • Robert Rex, Esq.

Former LPL Financial Broker Sanctioned by Regulators For Failing to Disclose IRS Lien
Former LPL Financial Broker Sanctioned by Regulators For Failing to Disclose IRS Lien 150 150 Robert Rex, Esq.

July 1, 2015 John Allen Brown entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that in June 2015 he…

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