• Robert Rex, Esq.

Harvey Meldrum-Former BCG Securities Broker-Sanctioned by FINRA-Manasquan, NJ
Harvey Meldrum-Former BCG Securities Broker-Sanctioned by FINRA-Manasquan, NJ 150 150 Robert Rex, Esq.

March 3, 2015  – Manasquan, NJ Harvey Herman Meldrum   entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with BCG Securities,…

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  • Robert Rex, Esq.

IBN FInancial Services Broker in Watertown, NY, Sanctioned by Securities Regulator
IBN FInancial Services Broker in Watertown, NY, Sanctioned by Securities Regulator 150 150 Robert Rex, Esq.

March 3, 2015  – Watertown, NY Brian Scott Exford   entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he refused to appear…

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  • Robert Rex, Esq.

Peoples Securities Broker in Willimantic, CT, Sanctioned by Securities Regulator
Peoples Securities Broker in Willimantic, CT, Sanctioned by Securities Regulator 150 150 Robert Rex, Esq.

March 2, 2015  – Willimantic, CT Tricia D. Willis   entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she converted customer funds…

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  • Robert Rex, Esq.

Allan Roth of Tampa Arrested in Penny Stock Scam
Allan Roth of Tampa Arrested in Penny Stock Scam 150 150 Robert Rex, Esq.

February 27, 2015-Tampa, Florida The Florida Office of Financial Regulation (OFR) reports that Allan Roth, 57, was arrested on 34 charges of selling unregistered securities and 34 counts of selling securities…

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  • Robert Rex, Esq.

EDI Financial of Irving, Texas, Sanctioned Over Sale of Private Placements
EDI Financial of Irving, Texas, Sanctioned Over Sale of Private Placements 150 150 Robert Rex, Esq.

February 25, 2015 EDI Financial, Inc.   entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that the company failed to adopt and implement…

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