• Robert Rex, Esq.

PTI Securities & Futures Sanctioned by Texas Regulators for Transferring Client Funds Based on Spam Emails-Austin, TX
PTI Securities & Futures Sanctioned by Texas Regulators for Transferring Client Funds Based on Spam Emails-Austin, TX 150 150 Robert Rex, Esq.

June 2017 -Austin, TX The Texas State Securities Board entered a disciplinary order against Chicago-based PTI Securities & Futures for transferring nearly $100,000 from a 75 year old Texan’s IRA…

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  • Robert Rex, Esq.

Judy K Morehead-Former Navarre Beach Chamber CEO-Charged With Securities Fraud-Navarre Beach, AL
Judy K Morehead-Former Navarre Beach Chamber CEO-Charged With Securities Fraud-Navarre Beach, AL 150 150 Robert Rex, Esq.

June 2017-Navarre Beach, Alabama The Alabama Securities Commission announced that Judy Kay Morehead of Henry County, Alabama, turned herself in to the Henry County Jail upon an arrest warrant charging…

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  • Robert Rex, Esq.

Mariva Capital Markets Censured/Fined by Regulator-Miami,FL
Mariva Capital Markets Censured/Fined by Regulator-Miami,FL 150 150 Robert Rex, Esq.

June 2017-Miami, FL According to publicly available records Mariva Capital Markets LLC (CRD#2296303) (“MCM”) ,  a  Miami-based broker dealer who has been a FINRA member since 2013 disclose a recent regulatory event. The…

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  • Robert Rex, Esq.

Keith Fontenot-Wells Fargo Clearing Services, Inc. Broker- Discloses 2 Customer Disputes – Lafayette, LA
Keith Fontenot-Wells Fargo Clearing Services, Inc. Broker- Discloses 2 Customer Disputes – Lafayette, LA 150 150 Robert Rex, Esq.

See this for April 2018 update.  June 2017 -Lafayette, LA According to publicly available records Keith A. Fontenot  (CRD#2296303) ,  a  stockbroker who currently is employed by Wells Fargo Advisors, disclose 2 customer…

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  • Robert Rex, Esq.

Ameriprise Financial Ordered to Pay Customer $440K For Making Improper Distributions From Retirement Account
Ameriprise Financial Ordered to Pay Customer $440K For Making Improper Distributions From Retirement Account 150 150 Robert Rex, Esq.

JUNE 2017 A FINRA arbitration panel of three public arbitrators in Omaha, Nebraska ordered Ameriprise Financial Services to pay a customer $440,000 in compensatory damages. The customer alleged breach of…

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  • Robert Rex, Esq.

Wells Fargo Securities Fined $3.25M For Supervisory Deficiencies
Wells Fargo Securities Fined $3.25M For Supervisory Deficiencies 150 150 Robert Rex, Esq.

JUNE 2017 Wells Fargo Securities   entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that they failed to…

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  • Robert Rex, Esq.

Cannabis Penny Stock Promoter James Farinella Named In SEC Fraud Suit
Cannabis Penny Stock Promoter James Farinella Named In SEC Fraud Suit 150 150 Robert Rex, Esq.

JUNE 2017 The U S Securities and Exchange Commission charged James M. Farinella ,  Integrated Capital Partners (ICP) , Anthony Amado, Equities Awareness Group LLC (EAG) and Carlos Palomino with…

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  • Robert Rex, Esq.

Gregg Templeton – Former Oppenheimer & Co. Broker – Discloses $6.75M Customer Dispute – NYC
Gregg Templeton – Former Oppenheimer & Co. Broker – Discloses $6.75M Customer Dispute – NYC 150 150 Robert Rex, Esq.

JUNE 2017- New York, NY According to publicly available records Gregg D. Templeton (CRD#2412775) ,  a  former stockbroker who was previously registered with Oppenheimer & Co., discloses a prior regulatory event, a currently pending…

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  • Robert Rex, Esq.

Matthew S. Kocsis -Cambridge Investment Research Broker-Discloses Customer Dispute-Charlotte, NC
Matthew S. Kocsis -Cambridge Investment Research Broker-Discloses Customer Dispute-Charlotte, NC 150 150 Robert Rex, Esq.

 JUNE 2017- Charlotte, NC According to publicly available records Matthew S. Kocsis, (CRD#4787057) ,  a  stockbroker who  is registered with Cambridge Investment Research discloses 2 prior customer disputes. The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Gary Mack Bradshaw – First Dallas Securities Broker – Discloses Customer Disputes – Dallas, TX
Gary Mack Bradshaw – First Dallas Securities Broker – Discloses Customer Disputes – Dallas, TX 150 150 Robert Rex, Esq.

June 2017- Dallas, TX According to publicly available records Gary Mack Bradshaw  (CRD#1389924) ,  a  stockbroker who currently is employed by  First Dallas Securities, Inc.  disclose 3 prior customer disputes. The Financial Industry…

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