• Robert Rex, Esq.

Newbridge Securities Fined by Regulators for Supervision Deficiencies
Newbridge Securities Fined by Regulators for Supervision Deficiencies 150 150 Robert Rex, Esq.

June 10, 2015 Newbridge Securities  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that the firm’s supervisory system did…

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  • Robert Rex, Esq.

Mark A. Bullivant-Former Raymond James Broker- Sanctioned by Securities Regulators
Mark A. Bullivant-Former Raymond James Broker- Sanctioned by Securities Regulators 150 150 Robert Rex, Esq.

June 10, 2015 According to FINRA records, Mark Andrew Bullivant, of Fort Myers, Florida,  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA)…

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  • Robert Rex, Esq.

Bolton Global Capital Sanctioned by Regulators – Failed to Deliver Prospectus on ETF Sales
Bolton Global Capital Sanctioned by Regulators – Failed to Deliver Prospectus on ETF Sales 150 150 Robert Rex, Esq.

June 9, 2015 Bolton Global Capital ,  entered into a Letter of Acceptance Waive and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  from at least May…

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  • Robert Rex, Esq.

Garden State Securities Discloses 21 Regulatory Events
Garden State Securities Discloses 21 Regulatory Events 150 150 Robert Rex, Esq.

Red Bank, NJ UPDATE June 2017-Garden State Securities reports 21 prior regulatory events on their FINRA records, including the following recent matter: 4/2017-Agreed to FINRA censure and a fine of…

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  • Robert Rex, Esq.

David James LeDoux-Boca Raton StockBroker Sanctioned For Failing to Report Tax Liens
David James LeDoux-Boca Raton StockBroker Sanctioned For Failing to Report Tax Liens 150 150 Robert Rex, Esq.

June 2, 2015-Boca Raton, FL David James LeDoux ,  entered into a Letter of Acceptance Waive and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  he failed…

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  • Robert Rex, Esq.

Former Dolphin Will Allen Arrested on Securities Fraud
Former Dolphin Will Allen Arrested on Securities Fraud 150 150 Robert Rex, Esq.

June 12, 2015 Will Allen, 36, a former Miami Dolphin cornerback  living in Davie, Florida, and Susan Daub, 55, of Coral Springs, Florida, were charged with securities fraud in connection…

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  • Robert Rex, Esq.

Suntrust Investment Services Broker Pleads Guilty to Wire Fraud, Sentenced to 41 Months
Suntrust Investment Services Broker Pleads Guilty to Wire Fraud, Sentenced to 41 Months 150 150 Robert Rex, Esq.

Staunton, Virginia Kirsten Flynn Hawkins, 45, pled guilty to wire fraud in January 2015, and in May 2015, was sentenced to 41 months in prison and ordered to pay restitution…

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  • Robert Rex, Esq.

Losses on Cushing Royalty & Income Fund ??
Losses on Cushing Royalty & Income Fund ?? 150 150 Robert Rex, Esq.

June 15,2015, Cushing & Royalty Income Fund (SRF) which traded at $25 in February 2012 currently trades at less than $5. It is a leveraged fund which invests in oil…

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  • Robert Rex, Esq.

Round Rock Texas Man Indicted–Oil/Gas Ponzi Scheme
Round Rock Texas Man Indicted–Oil/Gas Ponzi Scheme 150 150 Robert Rex, Esq.

June 3, 2015-Austin, Texas WIlliam Allen Risinger, of Round Rock, Texas,  was indicted May 19, 2015 on allegations that between 2010-2014 , through his company RHM Exploration, he promoted and sold…

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  • Robert Rex, Esq.

Greenbacker Renewable Energy Company Investigation
Greenbacker Renewable Energy Company Investigation 150 150 Robert Rex, Esq.

Greenback Renewable Energy is a publicly registered, non-traded limited liability company formed to acquire, construct and operate  income-generating renewable energy projects primarily within North America. While the company has made…

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