• Robert Rex, Esq.

Boynton Beach, FL Resident Named in Forex Fraud Order
Boynton Beach, FL Resident Named in Forex Fraud Order 150 150 Robert Rex, Esq.

February 4, 2016- Boynton Beach, Florida The U.S. Commodity Futures Trading Commission (CFTC) announced that a Federal Court issued a Consent Order against Robert Tripode of Boynton Beach, FL, in…

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  • Robert Rex, Esq.

Michael Griffith-Former NY Life Stockbroker-Barred from Industry for Forgery
Michael Griffith-Former NY Life Stockbroker-Barred from Industry for Forgery 150 150 Robert Rex, Esq.

January 27, 2016- Maryland Michael Roger Griffith entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he submitted two fictitious applications…

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  • Robert Rex, Esq.

James Anderson-Former WFG Investments Broker-Sanctioned by Securities Regulator- San Antonio ,TX
James Anderson-Former WFG Investments Broker-Sanctioned by Securities Regulator- San Antonio ,TX 150 150 Robert Rex, Esq.

January 27, 2016- San Antonio, Texas James W. Anderson entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to…

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  • Robert Rex, Esq.

NEXT Financial Group FIned $125K on Sales of UITs (Unit Investment Trusts)
NEXT Financial Group FIned $125K on Sales of UITs (Unit Investment Trusts) 150 150 Robert Rex, Esq.

January 27, 2016 – Houston, Texas NEXT Financial Group, Inc.  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from May 1,…

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  • Robert Rex, Esq.

James Nixon –Former Bridge Capital Associates/ Source Capital Group Stock Broker — Sanctioned by Securities Regulator
James Nixon –Former Bridge Capital Associates/ Source Capital Group Stock Broker — Sanctioned by Securities Regulator 150 150 Robert Rex, Esq.

January 8, 2016- Rowayton, CT James J. Nixon entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with Bridge…

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  • Robert Rex, Esq.

John R. McKinstry Investigation-Former Moloney Securities Broker-St. Louis
John R. McKinstry Investigation-Former Moloney Securities Broker-St. Louis 150 150 Robert Rex, Esq.

1/21/2016-St. Louis, MO Rex Securities Law is investigating former Moloney Securities broker John R. McKinstry on behalf of an elderly retired couple. According to his FINRA brokercheck report, McKinstry was discharged…

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  • Robert Rex, Esq.

John D. Wiswell-American Financial Portfolios Services Broker Sanctioned by Regulators-Stuart, FLA
John D. Wiswell-American Financial Portfolios Services Broker Sanctioned by Regulators-Stuart, FLA 150 150 Robert Rex, Esq.

December 30, 2015- Stuart, Florida John D. Wiswell entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with American…

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  • Robert Rex, Esq.

Geoffrey Schiffrin, Finance 500 Broker Sanctioned for Penny Stock Sales
Geoffrey Schiffrin, Finance 500 Broker Sanctioned for Penny Stock Sales 150 150 Robert Rex, Esq.

December 28, 2015- Delray Beach, Florida Geoffrey Schiffrin entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with…

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  • Robert Rex, Esq.

Stock Broker Lies to Client About Account Value- Barred From Industry by Regulator
Stock Broker Lies to Client About Account Value- Barred From Industry by Regulator 150 150 Robert Rex, Esq.

December 30 , 2015-Dallas, Texas Jose A. Zapata entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with Argentus…

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