stockbroker malpractice Archives

Robert Rex, Esq.
March 25, 2015

Dallas Based Worth Financial Group Sanctioned by Securities Regulator

Dallas Based Worth Financial Group Sanctioned by Securities Regulator https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g March 25, 2015 March 25, 2015

January 9, 2015 Worth Financial Group entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that it failed to establish adequate supervisory…

Robert Rex, Esq.
March 21, 2015

David Harari-San Antonio Stock Broker Sanctioned by Regulator

David Harari-San Antonio Stock Broker Sanctioned by Regulator https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g March 21, 2015 March 21, 2015

March 9, 2015- San Antonio, Texas The National Adjudicatory Council of the Financial Industry Regulatory Authority (FINRA) issued a decision in Complaint No. 20111025899601 , affirming and modifying sanctions against David Harari…

Robert Rex, Esq.
March 21, 2015

Texans Sentenced in Mortgage Fraud Conspiracy in East Texas

Texans Sentenced in Mortgage Fraud Conspiracy in East Texas https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g March 21, 2015 March 21, 2015

March 17, 2015-Plano, Texas The FBI, Dallas Division, announced that five defendants have been sentenced for their roles in a mortgage fraud conspiracy in a hearing before U.S. District Judge…

Robert Rex, Esq.
March 20, 2015

H.D. Vest Sanctioned by SEC For Failing to Supervise Broker

H.D. Vest Sanctioned by SEC For Failing to Supervise Broker https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g March 20, 2015 March 20, 2015

March 4, 2015 In Securities and Exchange Commission (SEC) Administrative Proceeding File No. 3-16419, the SEC found that H.D. Vest Investment Securities, Inc. failed to supervise Michigan broker Lewis J.…

Robert Rex, Esq.
March 19, 2015

Buffalo Resident Gregory Gray Arrested in Lake Worth, FL, on Securities Fraud

Buffalo Resident Gregory Gray Arrested in Lake Worth, FL, on Securities Fraud https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g March 19, 2015 March 19, 2015

March 5, 2015 The Buffalo News reports that Gregory W. Gray, Jr. of Buffalo, New York, recently charged by the SEC for operating a ponzi-like scheme, was arrested at his…

Robert Rex, Esq.
March 19, 2015

Girard Securities Acquisition Closed by RCS Capital Group

Girard Securities Acquisition Closed by RCS Capital Group https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g March 19, 2015 March 19, 2015

March 12, 2015 RCS Capital Corporation announced that it closed the acquisition of Girard Securities. Girard Securities has over $10 billion of assets and 250 financial advisors. They become a part of the Cetera…

Robert Rex, Esq.
March 19, 2015

RCS Capital Closes Deal on Acquisition of VSR Financial

RCS Capital Closes Deal on Acquisition of VSR Financial https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g March 19, 2015 March 19, 2015

March 5, 2015 RCS Capital Corporation announced that it closed the acquisition of VSR Group, Inc. and VSR Financial Services, Inc., which had been announced months ago. VSR Financial is based…

Robert Rex, Esq.
March 19, 2015

Former Pompano Beach Florida Lawyer Hit With $1.5 Million SEC Fine

Former Pompano Beach Florida Lawyer Hit With $1.5 Million SEC Fine https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g March 19, 2015 March 19, 2015

March 11, 2015- A default judgment was entered against former Pompano Beach, FL, lawyer Guy Jean-Pierre (aka Marcelo Dominguez de Guerra) in favor of the Securities and Exchange Commission (SEC).…

Robert Rex, Esq.
March 19, 2015

Gary Williky Named in Securities Fraud Action- Colleyville, Texas

Gary Williky Named in Securities Fraud Action- Colleyville, Texas https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g March 19, 2015 March 19, 2015

March 2, 2015-Colleyville, Texas The U.S. Securities & Exchange Commission (SEC) filed a complaint seeking an injunction alleging that Gary S. Williky of Colleyville, Texas perpetrated an illegal market manipulation and…

Robert Rex, Esq.
March 5, 2015

Texas Based Cannon Operating Sanctioned by South Carolina Securities Regulators

Texas Based Cannon Operating Sanctioned by South Carolina Securities Regulators https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g March 5, 2015 March 5, 2015

February 27, 2015- Columbia, South Carolina The Securities Commissioner of the State of South Carolina has filed an Order to Cease and Desist against a Garland, Texas, Company and one…

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