• Robert Rex, Esq.

Raymond James Agrees to Return $4.4 Million in Mutual Fund Overcharges
Raymond James Agrees to Return $4.4 Million in Mutual Fund Overcharges 150 150 Robert Rex, Esq.

July 6, 2015 Raymond James & Associates  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from July 2009…

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  • Robert Rex, Esq.

Former Winter Park. FL, Man Arrested on Oil & Gas Fraud Charges in Texas
Former Winter Park. FL, Man Arrested on Oil & Gas Fraud Charges in Texas 150 150 Robert Rex, Esq.

July 10, 2015 The Dallas Morning News reports that Justin Spearman, 27, of Winter Park, Florida, has been charged in the Eastern District of Texas with wire fraud in connection…

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  • Robert Rex, Esq.

North Carolina Securities Division July 2015 Newsletter
North Carolina Securities Division July 2015 Newsletter 150 150 Robert Rex, Esq.

July  2015- Raleigh, North Carolina The North Carolina Securities Division of the Department of the Secretary of State issues a monthly newsletter highlighting recent enforcement actions for securities violations and other…

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  • Robert Rex, Esq.

Orlando Florida Man Sentenced for Defrauding Investors
Orlando Florida Man Sentenced for Defrauding Investors 150 150 Robert Rex, Esq.

July 13, 2015- Orlando, Florida The FBI announced in a Press Release that Dante S. Giovannetti, 50, of Orlando, Florida, was sentenced to 63 months in federal prison for wire fraud. He was also…

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  • Robert Rex, Esq.

Naples Florida Man Pleads Guilty in DG Wealth Management Investment Scheme
Naples Florida Man Pleads Guilty in DG Wealth Management Investment Scheme 150 150 Robert Rex, Esq.

July 13, 2015- Fort Myers, Florida The FBI announced in a Press Release that Dorian Graves, 30, of Naples, Florida, pleaded guilty to wire fraud for operating an investment scheme…

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  • Robert Rex, Esq.

Investigation of William Tatro-Former First Allied Securities Stock Broker
Investigation of William Tatro-Former First Allied Securities Stock Broker 150 150 Robert Rex, Esq.

July 10, 2015- Rex Securities Law is investigating former stock broker William “Bill” Tatro who was employed by First Allied Securities from 11/2003-9/2010. According to FINRA records, Tatro was permanently barred from the securities industry in…

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  • Robert Rex, Esq.

Robert K Smith- Former Berthel Fisher Broker-Discloses Customer Disputes- Mobile, Alabama
Robert K Smith- Former Berthel Fisher Broker-Discloses Customer Disputes- Mobile, Alabama 150 150 Robert Rex, Esq.

UPDATE MARCH 2017-In  April 2016 Robert K. Smith was suspended by FINRA for three. The suspension was lifted July 12, 2016.  Smith currently discloses a total of 13 prior customer…

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  • Robert Rex, Esq.

Brian M. White -Former Hornor/Townsend/Kent Broker-Barred from Securities Industry-Woodlands, TX
Brian M. White -Former Hornor/Townsend/Kent Broker-Barred from Securities Industry-Woodlands, TX 150 150 Robert Rex, Esq.

June 30, 2015 A FINRA Department of Enforcement Hearing Panel made a decision that Brian Michael White engaged in undisclosed outside business activities and  provided false testimony to FINRA staff in…

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  • Robert Rex, Esq.

Ascendiant Capital Markets Sanctioned by Securities Regulator
Ascendiant Capital Markets Sanctioned by Securities Regulator 150 150 Robert Rex, Esq.

June 25, 2015 Ascendiant Capital Markets entered into an Order Accepting Offer of Settlement  (Order) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that the company violated FINRA By-Laws,…

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  • Robert Rex, Esq.

Ohio Division of Securities Issues 2015 Third Quarter Bulletin-Civil & Criminal Securities Actions
Ohio Division of Securities Issues 2015 Third Quarter Bulletin-Civil & Criminal Securities Actions 150 150 Robert Rex, Esq.

July 6, 2015- Columbus, Ohio The Ohio Division of Securities publishes a Securities Bulletin quarterly summarizing recent changes to securities rules and laws in the State of Ohio, reporting on…

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