• Robert Rex, Esq.

Losses on F-Squared Investments (Good Harbor Financial US Tactical Core & AlphaSector Allocator Select) May be Recoverable
Losses on F-Squared Investments (Good Harbor Financial US Tactical Core & AlphaSector Allocator Select) May be Recoverable 150 150 Robert Rex, Esq.

July 8, 2015 F-Squared Investments, Inc, an exchange-traded fund manager,  filed for Chapter 11 bankruptcy protection in the U.S. Bankruptcy Court for the District of Delaware. In December of 2014,…

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  • Robert Rex, Esq.

FINRA Arbitrators Order BNP Paribas to Pay Customer over $16 Million
FINRA Arbitrators Order BNP Paribas to Pay Customer over $16 Million 150 150 Robert Rex, Esq.

June 23, 2015- New York A FINRA arbitration panel ordered BNP Paribas Securities Corp. to pay a former customer over $16 million dollars for the sale and marketing of an unsuitable…

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  • Robert Rex, Esq.

Dougherty & Company Assessed $250K Fine for Failure to Perform Due Diligence
Dougherty & Company Assessed $250K Fine for Failure to Perform Due Diligence 150 150 Robert Rex, Esq.

June 18, 2015 Dougherty & Company, a broker dealer and investment adviser with its principal office located in Minneapolis, Minnesota,  consented to the entry of an Order Instituting Administrative and…

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  • Robert Rex, Esq.

Former Thrivent Investment Management Broker Sanctioned for Falsifying Annuity Documents
Former Thrivent Investment Management Broker Sanctioned for Falsifying Annuity Documents 150 150 Robert Rex, Esq.

June 24, 2015 Bruce R. Geiger entered into an Order Accepting Offer of Settlement with the Financial Industry Regulatory Authority (FINRA) to resolve allegations by FINRA that he had violated…

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  • Robert Rex, Esq.

South Carolina Regulators Seek to Take Securities License of Mark Hotton
South Carolina Regulators Seek to Take Securities License of Mark Hotton 150 150 Robert Rex, Esq.

June 23, 2015- Columbia, South Carolina The Securities Commissioner for South Carolina filed a Rule to Show Cause seeking to permanently ban Mark Christopher Hotton from the securities industry. In 2013…

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  • Robert Rex, Esq.

Allstate Financial Services Broker Barred For Falsifying Insurance Applications
Allstate Financial Services Broker Barred For Falsifying Insurance Applications 150 150 Robert Rex, Esq.

June 23, 2015 Michael G. Seidel  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he  submitted falsified applications…

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  • Robert Rex, Esq.

SEC Issues Investor Alert: Five Red Flags of Investment Fraud
SEC Issues Investor Alert: Five Red Flags of Investment Fraud 150 150 Robert Rex, Esq.

June 15, 2015 The U.S. Securities and Exchange Commission Office of Investor Education issued an Investor Alert pointing out the Five Red Flags of Investment Fraud: Promises of High Returns…

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  • Robert Rex, Esq.

Former Wells Fargo Advisor Broker Sanctioned for Unauthorized Trading in Customer Account
Former Wells Fargo Advisor Broker Sanctioned for Unauthorized Trading in Customer Account 150 150 Robert Rex, Esq.

June 22, 2015 Tyler Powell  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he  exercised discretion in a…

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  • Robert Rex, Esq.

Dean Yurica-Former LPL Financial Broke- Fined/Suspended for Falsifying Customer Documents
Dean Yurica-Former LPL Financial Broke- Fined/Suspended for Falsifying Customer Documents 150 150 Robert Rex, Esq.

February 2019-Carmichael, CA Dean M. Yurica  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he  falsified documents related…

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